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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules - Standards for advertising and public communications |
| Topic 2: 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 - Debt securities and government obligations - Equity securities - Municipal securities - Recordkeeping and regulatory reporting - Options and derivative products - Direct participation programs |
| Topic 3: 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 |
| Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements - Suitability rules and regulatory compliance |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. XYZ Corporation earned $2 per share last year and is selling at $20 per share. If it earns $3 per share this
year and its price/earnings ratio stays the same, its price will be:
A) $20
B) $25
C) $60
D) $30
2. Prospective bidders for a municipal bond being issued should consult what document for relevant
procedures?
A) the official notice of sale
B) the offering circular
C) the Eastern account agreement
D) the SEC Registration Statement
3. Bubba owns stock with cumulative voting rights. There are five vacancies on a board and he owns 100
shares of stock. Bubba is entitled to cast the following votes:
A) you are not allowed to vote
B) a totalof 100 votes per
C) a totalof 100 votes
D) a total of 500 votes
4. The expiration date of a listed option is:
A) the last day of the expiration month
B) the third Friday of the expiration month
C) the Saturday following the third Friday of the expiration month
D) the third Saturday of the expiration month
5. Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the
prices listed
1 00 ABC $30
2 00 XYZ $70
2 00 QBB $40
2 00 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
What is the buying power in Bubba's account?
A) $11,000
B) $0
C) $6,000
D) $3,000
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: C |
