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Updated: Jun 01, 2026
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FINRA General Securities Representative Examination (GS) Sample Questions:
1. What is the maximum amount of gift to customers or other individuals related to the securities business
that a registered representative is permitted to give?
A) $50
B) $100
C) $500
D) $200
2. If a mutual fund has invested its assets by allocating about one-third each for bonds, preferred stocks, and
common stocks, it is identified as:
A) a unit investment trust fund
B) an income fund
C) a balanced fund
D) a specialized fund
3. A mutual fund custodian is paid according to which of the following specifications when receiving deposits
from a shareholder's reinvestment plan?
A) a percentage of the fund's net asset value
B) a percentage of the sales charge
C) a commission for each share purchased
D) a processing fee
4. The agreement between the members of a syndicate and the manager is known as the:
A) selling agreement
B) standby agreement
C) underwriting agreement
D) agreement among underwriters
5. If a customer dies, the registered representative is required to:
A) both A and B
B) cancel all open (good 'til cancelled) orders
C) await instructions and necessary papers from the executor of the estate
D) sell out the account
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: A |
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