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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Margin accounts and taxation - Investment companies, ETFs, and variable annuities - Direct participation programs - Equity securities - Municipal securities - Recordkeeping and regulatory reporting - Debt securities and government obligations - Options and derivative products |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Regulatory requirements for transaction processing - Trade settlement and confirmation rules |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. The cost of maintaining an investment in a mutual fund is best reflected in the:
A) custodial fee
B) net investment income
C) sales charge
D) expense ratio
2. Which of the following securities provides the longest term of option privilege?
A) warrants
B) puts
C) calls
D) rights
3. Under a leaseback arrangement used to finance construction of local schools, who is the issuer of the
municipal bonds?
A) a legal authority created for this purpose
B) the local school district
C) the state in which the schools are located
D) a public housing authority commissioned by the federal government
4. Level III of NASDAQ provides which of the following?
A) firm quotations
B) representative quotations
C) subject markets
D) workout markets
5. Which of the following is true about a customer with a frozen account?
A) may not trade corporate securities under any circumstances
B) must deposit the full purchase cost before an order is executed
C) may make purchases but not sales of corporate securities
D) must deposit sufficient cash for each transaction no later than the settlement date
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: B |
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