FINRA Series-7 (General Securities Representative Qualification Examination) is a comprehensive exam that tests the knowledge and skills required to become a licensed securities representative in the United States. Series-7 exam is designed to assess the proficiency of individuals in various areas of finance, including investment banking, securities trading, and investment analysis. It is one of the most popular exams administered by the Financial Industry Regulatory Authority (FINRA) and is a prerequisite for anyone seeking to work in the securities industry.
The Series-7 certification is mandatory for individuals who wish to work in the securities industry as registered representatives. General Securities Representative Qualification Examination (GS) certification is recognized across the United States and provides individuals with the necessary credentials to work in the securities industry. Additionally, the certification is an excellent way for individuals to demonstrate their knowledge and expertise in the securities industry, which can be beneficial when seeking employment or advancing their careers.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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The Series-7 exam covers a broad range of topics related to the securities industry, including stocks, bonds, options, mutual funds, and other investment products. It is a 225-question multiple-choice exam that is divided into two parts, each of which must be completed within a four-hour time limit. The first part of the exam covers general securities knowledge, while the second part focuses on specific job functions such as customer account handling, securities trading, and investment banking.
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FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Recordkeeping and reporting requirements - Trade settlement and confirmation - Order types and execution procedures - Handling errors and discrepancies |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Debt securities and government obligations - Direct participation programs - Investment company securities and variable contracts - Portfolio analysis and risk management - Municipal securities - Taxation and regulatory rules - Options and derivative products - Characteristics of equity securities |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Customer information collection - Determining investment suitability - Types of accounts and ownership structures - Account documentation and regulatory compliance |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Prospecting and sales practices - Regulatory requirements for communications with the public - Identification of potential customers |
