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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Municipal securities - Options and derivative products - Direct participation programs - Investment companies, ETFs, and variable annuities - Equity securities - Debt securities and government obligations - Margin accounts and taxation - Recordkeeping and regulatory reporting |
| Topic 2: 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 |
| 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: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Suitability rules and regulatory compliance - Account types and documentation requirements - Financial profile, risk tolerance, and investment objectives |
FINRA General Securities Representative Examination (GS) Sample Questions:
Which of the following is not prohibited of a general partner?
- A. buying or selling assets of the partnership except to foster the business of the partnership
- B. acting in such a way as to impede the orderly business of the partnership
- C. accepting compensation from any other partnership
- D. competing in any way with the partnership
Correct Answer: C 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
Which of the following does not affect the public offering price of a new issue?
- A. the selling group's determination of value in the prevailing market conditions
- B. the book value of the issuer
- C. anticipated earnings of the issuer in the next year
- D. dividend projections for the next year
Correct Answer: A 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
If the Federal Reserve wished to ease credit, which of the following steps would it take?
- A. lower reserve requirements
- B. raise the discount rate
- C. purchase securities in the open market
- D. both B and C
Correct Answer: D 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
When does a call option provide the most value to its holder?
- A. in the month prior to its expiration
- B. when there is a large open interest in that class of option
- C. when the underlying stock is extremely volatile
- D. when the underlying stock price is rising
Correct Answer: D 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
Bubba want to buy a CMO. In general, how often should he expect to receive interest payments?
- A. at maturity
- B. every week
- C. every year
- D. every month
Correct Answer: D 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
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