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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Suitability rules and regulatory compliance - Account types and documentation requirements - Financial profile, risk tolerance, and investment objectives |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Options and derivative products - Investment companies, ETFs, and variable annuities - Direct participation programs - Equity securities - Municipal securities - Debt securities and government obligations - Recordkeeping and regulatory reporting - Margin accounts and taxation |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Regulatory requirements for transaction processing - Trade settlement and confirmation rules |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications - Customer communication and solicitation rules |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
A corporate bond is quoted as having a net change in value of plus one point. By how much did the bond
price increase?
A. $1,000
B. $100
C. $10
D. $1
Question 2
Partnership democracy is:
A. a prohibition against control by a single partner
B. the sharing of management by all partners
C. permission granted to the general partner to act outside the partnership agreement
D. a synonym for silent partner
Question 3
Bubba entered an order to sell long 100 shares of XYZ at 38.75 stop limit. Thereafter, the following
round-lot transactions occurred: 38.75, 38.65, 38.50. At what price was Bubba's order executed?
A. 38.75
B. 38.50
C. it was never executed
D. 38.65
Question 4
Commercial paper is typically issued with a maturity date not exceeding:
A. 90 days
B. 270 days
C. 1 year
D. 6 months
Question 5
Which of the following must be true in order for an offering to qualify as an intrastate offering under Rule
1 47?
A. all of the above are required
B. 80% of the corporation's assets must be located in that state
C. 80% of the proceeds of the offering must be used in that state
D. 80% of the corporation's revenue must be earned in that state
Solutions:
| Question 1 Answer: C | Question 2 Answer: C | Question 3 Answer: C | Question 4 Answer: B | Question 5 Answer: A |
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