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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance - Account types and documentation requirements |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements |
| Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Municipal securities - Direct participation programs - Equity securities - Margin accounts and taxation - Recordkeeping and regulatory reporting - Debt securities and government obligations - Investment companies, ETFs, and variable annuities - Options and derivative products |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Trade settlement and confirmation rules - Regulatory requirements for transaction processing - Order types and execution procedures |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
Bubba buys one XYZ September 50 call at $7 and sells one XYZ September 60 call at $3. At that time,
XYZ stock is at $55. Bubba has no other stock positions. What is Bubba's maximum possible profit?
A. $600
B. unlimited
C. $500
D. $1,000
Question 2
Which of the following securities is traded only in the over-the-counter market?
A. closed-end investment companies
B. open-end investment companies
C. preferred stocks
D. corporate bonds
Question 3
How much currency is one mil worth?
A. one-tenth of $100
B. one-tenth of $1
C. one-tenth of one cent
D. one-tenth of $1,000
Question 4
The initial Federal Reserve Bank margin requirement is set at 60% and Bubba purchases 100 shares of
XYZ at $100 per share. He deposits $6,000 of the $10,000 purchase price in his account. If XYZ
increases in value to $150 per share, how much excess equity would Bubba have in his account?
A. $2,000
B. $1,500
C. $1,000
D. $3,000
Question 5
Bubba wants to buy 500 shares of an NYSE listed stock at 38.87 but he wants to buy at one time, right
away, or else forget it. What kind of order should the registered representative enter?
A. all or none
B. immediate or cancel
C. fill or kill
D. now or never
Solutions:
| Question 1 Answer: A | Question 2 Answer: B | Question 3 Answer: B | Question 4 Answer: A | Question 5 Answer: C |
