- Exam Code: Series7
- Exam Name: General Securities Representative Examination (GS)
- Certification Provider: FINRA
- Corresponding Certification:FINRA Certification
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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% | - Direct participation programs - Debt securities and government obligations - Equity securities - Options and derivative products - Margin accounts and taxation - Recordkeeping and regulatory reporting - Investment companies, ETFs, and variable annuities - Municipal securities |
| Topic 2: 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 3: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements |
| Topic 4: 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 |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following sets of prices is that of a closed-end investment company?
A) $28.14 $27.75
B) $20.15 $21.85
C) $10.10 $11.00
D) $7.50 $8.10
2. The practice of positioning stock in response to a customer's order and immediately after marking it up for
resale to the customer is:
A) a riskless transaction
B) all of the above
C) a simultaneous transaction
D) a factor to consider in the FINRA guideline
3. Prospective bidders for a municipal bond being issued should consult what document for relevant
procedures?
A) the Eastern account agreement
B) the offering circular
C) the official notice of sale
D) the SEC Registration Statement
4. When a corporation dissolves, who gets paid first?
A) senior bond holders
B) the tax collector
C) bank lenders
D) the lawyer
5. Bubba owns a perpetual warrant to buy one share of Internet Corporation common stock at $30. Internet
Corporation stock is trading at 41.50 and is ex-dividend today at $0.75. What is the market value of
Bubba's warrant?
A) 5.62
B) cannot be determined from this information
C) 5.38
D) 5.75
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: B | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: B |
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