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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Trade settlement and confirmation rules - Regulatory requirements for transaction processing |
| Topic 2: 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 |
| Topic 3: 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 |
| Topic 4: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Recordkeeping and regulatory reporting - Equity securities - Investment companies, ETFs, and variable annuities - Debt securities and government obligations - Options and derivative products - Margin accounts and taxation - Municipal securities |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
A treasury obligation having no fixed rate of interest with a thirty day maturity due April 22 is most likely a:
A. Series EE bond
B. Series H bond
C. tax anticipation bill
D. treasury note
Question 2
When a corporation issues a nonconvertible debenture, what is the effect upon its net worth?
A. none of the above
B. if decreases
C. if is unchanged
D. it increases
Question 3
When opening a brokerage account for a customer, a registered representative must determine the
customer's:
A. financial resources
B. investment objectives
C. all of the above
D. financial requirements
Question 4
The definition of debentures is:
A. a loan secured by real estate
B. a worthless security
C. collateralized securities
D. securities backed by the general credit of the issuers but no specific collateral
Question 5
Bubba is eligible for a Roth IRA. He may convert his SEP-IRA to a Roth IRA:
A. not ever
B. without restriction
C. only after the two-year holding period
D. after a 90-day holding period
Solutions:
| Question 1 Answer: C | Question 2 Answer: C | Question 3 Answer: C | Question 4 Answer: D | Question 5 Answer: B |
