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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% | - Trade settlement and confirmation rules - Order types and execution procedures - Regulatory requirements for transaction processing |
| Topic 2: 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 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules |
| Topic 4: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Debt securities and government obligations - Equity securities - Options and derivative products - Municipal securities - Investment companies, ETFs, and variable annuities - Recordkeeping and regulatory reporting - Margin accounts and taxation |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following types of investment companies pays out 90% of its net investment income to
shareholders?
A) balanced
B) diversified
C) regulated
D) registered
2. When an index option is exercised, settlement is made by:
A) delivery of a futures contract
B) any of the above
C) delivery of the underlying securities
D) cash
3. In a best efforts distribution of a new non-exempt issue, a broker/dealer:
A) may allow a selling concession to a bank or trust company
B) is not required to use an offering circular or prospectus
C) agrees to buy the issue at a specified price
D) acts as an agent for the issuer
4. Registration of open-end investment company shares with the SEC implies that the:
A) prospectus contains the significant facts about the issue
B) shares have investment merit
C) SEC guarantees the accuracy of the disclosures in the registration statement
D) SEC approves the issue
5. Which of the following statements about the custodian for an open-end mutual fund is correct?
A) the custodian takes part in the sale of fund shares
B) the custodian performs all management, supervisory, or investment functions
C) the custodian may perform an essential clerical service for the fund and its shareholders
D) the custodian affords protection against decline in value of fund shares
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |
