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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Regulatory requirements for transaction processing - Order types and execution procedures - Trade settlement and confirmation rules |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Options and derivative products - Equity securities - Debt securities and government obligations - Municipal securities - Investment companies, ETFs, and variable annuities - Recordkeeping and regulatory reporting - Margin accounts and taxation |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
Which of the following is a benefit of Section 8 low-income housing partnerships?
A. high, reliable income
B. low risk
C. potential for capital appreciation
D. large deductions
Question 2
Bubba holds 200 shares of common stock in a utility company and receives rights to subscribe to an
additional 100 shares at $20. The utility company is raising $40 million of new capital. How many rights
does Bubba receive?
A. 50
B. 20
C. 200
D. 100
Question 3
A mutual fund letter of intent may permissibly be predated for a period of time up to:
A. 10 business days
B. 13 months
C. 5 business days
D. 90 calendar days
Question 4
Which of the following best describes phantom income?
A. income from deductions and tax credits
B. income received but not reported
C. income reported but not received
D. the non-taxable portion of a distribution
Question 5
Interest rates rise from 5.10% to 5.30%. For a prospective buyer of five $1,000 bonds, what is the
increase in interest payments as a result of the rise?
A. $100
B. $10
C. $20
D. $2
Solutions:
| Question 1 Answer: B | Question 2 Answer: C | Question 3 Answer: D | Question 4 Answer: C | Question 5 Answer: B |
