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試験科目：「General Securities Representative Examination (GS)」
NO.1 Bubba Corporation has a registered public offering of 500,000 shares at $36. Of these, 300,000
were authorized by unissued and 200,000 shares were sold on behalf of an affiliated person. What is
evident from this information?
A. 300,000 shares are identified as a primary distribution
B. both B and C
C. the entire proceeds of the offering are a primary offering accruing to the corporation
D. 60% of the proceeds are paid to the corporation and the balance accrues to the affiliated person
Explanation: both B and C. The 200,000 shares are sold on behalf of the affiliated person so the
go to that individual. Only the other 300,000 shares are a primary offering.
NO.2 When does a call option provide the most value to its holder?
A. when the underlying stock price is rising
B. when there is a large open interest in that class of option
C. when the underlying stock is extremely volatile
D. in the month prior to its expiration
Series7 再テスト Series7 関連
Explanation: when the underlying stock price is rising. That's why the holder of this option wants to
have a right to "call" the stock.
NO.3 Bubba Brokerage Corporation announces through its wire system that it has a large block of
stock for sale.
Customers purchasing the stock will not pay a commission. The block is crossed on the NYSE floor and
printed on the NYSE tape. This is called a:
A. exchange distribution
B. specialist block purchase
C. special order
D. secondary distribution
Explanation: exchange distribution. An exchange distribution is a large block sold internally by one
that is crossed on the floor of the exchange. The trade would print on the tape identified by the
NO.4 In June, Bubba bought 100 shares of XYZ at $35. In November, he bought a listed put in XYZ
with a $35
strike price and a July expiration for a premium of $600. In April, Bubba exercises the put option and
his stock for delivery. What is his resulting tax consequence?
A. cannot be determined without knowing the market price of XYZ upon exercise
B. neither profit nor loss
C. this is a wash sale and cannot be included in the investor's tax calculations
D. a $600 capital loss
Series7 市販本 Series7 赤本
Explanation: a $600 loss. The strike price and Bubba's purchase price are the same. He has a $600
on the option for the premium he paid.
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