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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Which of the following will not result in termination of a limited partnership?

A) majority vote of the limited partners to end the partnership
B) sale or transfer of partnership assets
C) transfer of ownership of a limited partnership interest
D) arrival of the termination date established in the partnership agreement

2. Which of the following best describes phantom income?

A) the non-taxable portion of a distribution
B) income reported but not received
C) income from deductions and tax credits
D) income received but not reported

3. Which of the following is an acceptable deposit to answer an NYSE maintenance call?

A) all of the above
B) SMA
C) US savings bond
D) US treasury notes

4. Who is responsible for verifying that limited partners meet net worth and income requirements?

A) the registered representative
B) the limited partners
C) the sponsor
D) the general partner

5. Feasibility studies and engineering surveys are most necessary prior to which of the following new
offerings?

A) general obligation bonds
B) revenue bonds
C) corporate debentures
D) limited tax bonds

Solutions: