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FINRA Series7 Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions	7%	- Trade execution and settlement 1. Settlement and confirmations 2. Order handling 3. Books and records requirements 4. Trade processing
Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers	9%	- Customer acquisition and prospecting 1. Communications with the public 2. Business development activities
Topic 3: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records	73%	- Investment products 1. Options 2. Direct participation programs 3. Equity securities 4. Government securities 5. Debt securities 6. Municipal securities 7. Investment companies and variable products - Customer recommendations and transactions 1. Suitability and best interest obligations 2. Portfolio and risk considerations 3. Asset transfers and record maintenance
Topic 4: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives	11%	- Customer accounts and documentation 1. Suitability and customer profile 2. Account types and registrations 3. Customer identification requirements

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

If the Federal Reserve wished to ease credit, which of the following steps would it take?

A. purchase securities in the open market
B. both B and C
C. raise the discount rate
D. lower reserve requirements

Reveal Solution Discussion 0

Correct Answer: B 🗳️

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Question #2

Convertible bonds have all of the following features except:

A. permissibility for use as collateral
B. a normally higher yield than non-convertible bonds of the same issuer
C. an ability to protect a short position on the stock into which they are convertible
D. fluctuations influenced by changes in the price of the underlying common stock

Reveal Solution Discussion 0

Correct Answer: B 🗳️

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Question #3

The term "mutual fund" is popularly used for which of the following?