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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| 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 |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications - Customer communication and solicitation rules |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Investment companies, ETFs, and variable annuities - Municipal securities - Margin accounts and taxation - Debt securities and government obligations - Recordkeeping and regulatory reporting - Options and derivative products - Equity securities |
| 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 |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Bubba buys one XYZ October 80 put and sells one XYZ October 70 put. What is his position called?
A) combination
B) calendar spread
C) money spread
D) straddle
2. Which of the following are not flat rate taxes?
A) gasoline tax
B) gift tax
C) excise tax
D) general income tax
3. In stabilizing a new issue, the manager may make a "syndicate penalty bid". This means that:
A) any shares repurchased are added to the treasury stock of the issuing corporation
B) the manager will charge the syndicate the value of the shares
C) all stock purchased will be returned to the issuing corporation
D) the underwriter will be penalized his profit on any securities repurchased from his clients
4. Initial margin deposit minimum requirements are set by the:
A) FRB
B) FINRA
C) FDIC
D) NYSE
5. Which of the following pairs of terms are synonyms in connection with most mutual funds?
A) selling price and bid price
B) net asset value and redemption price
C) bid price and management fee
D) net asset value and offering price
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: B | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: B |
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