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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: 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 |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements |
| 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: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Recordkeeping and regulatory reporting - Municipal securities - Options and derivative products - Equity securities - Debt securities and government obligations - Investment companies, ETFs, and variable annuities - Margin accounts and taxation |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following registered investment companies normally sells with an appropriate commission
added to the contract price?
A) a closed-end investment company
B) an open-end investment company
C) a face-amount certificate company
D) a unit investment trust
2. Which of the following sets of prices is that of a closed-end investment company?
A) $20.15 $21.85
B) $7.50 $8.10
C) $10.10 $11.00
D) $28.14 $27.75
3. When does a call option provide the most value to its holder?
A) in the month prior to its expiration
B) when the underlying stock price is rising
C) when the underlying stock is extremely volatile
D) when there is a large open interest in that class of option
4. Which of the following types of investment companies pays out 90% of its net investment income to
shareholders?
A) balanced
B) regulated
C) diversified
D) registered
5. Which of the following is not true about mutual funds and variable annuities?
A) the registered representative must have FINRA registration to solicit either one
B) the holder of each must pay income taxes on the dividends received each year
C) the payout of each depends on the investment results of the securities owned in the portfolio
D) each is regulated under the Investment Company Act of 1940
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: B |
