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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% | - Regulatory requirements for transaction processing - Trade settlement and confirmation rules - Order types and execution procedures |
| 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: 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 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 - Municipal securities - Recordkeeping and regulatory reporting - Equity securities - Margin accounts and taxation - Options and derivative products - Investment companies, ETFs, and variable annuities |
FINRA General Securities Representative Examination (GS) Sample Questions:
Which of the following is a benefit of Section 8 low-income housing partnerships?
- A. high, reliable income
- B. large deductions
- C. potential for capital appreciation
- D. low risk
Correct Answer: D 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
A corporation makes a rights offering to raise $10 million of new capital by issuing one million shares of
common stock. If it already has six million shares outstanding at the time of the offering. What
subscription ratio is the corporation establishing for each new share?
- A. 6 rights per share
- B. 10 rights per share
- C. 10 million rights per share
- D. 6 million rights per share
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
Bubba plans to borrow some money and pledge securities as collateral. Which of the following can he not
use as collateral?
- A. Series EE bonds
- B. US treasury notes
- C. US treasury bonds
- D. US treasury bills
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
A mutual fund custodian is paid according to which of the following specifications when receiving deposits
from a shareholder's reinvestment plan?
- A. a processing fee
- B. a percentage of the fund's net asset value
- C. a percentage of the sales charge
- D. a commission for each share purchased
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
A wealth investor gives Bubba discretion to invest $50,000 for him in any way Bubba sees fit. Therefore,
Bubba must:
- A. furnish written documents of authority to the brokerage firm executing the orders
- B. conform to the prudent man requirements in that state
- C. a registered representative with the SEC under the Investment Advisors Act of 1940
- D. be registered with the NYSE and FINRA as a representative
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
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