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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% | - Margin accounts and taxation - Options and derivative products - Direct participation programs - Equity securities - Recordkeeping and regulatory reporting - Investment companies, ETFs, and variable annuities - Municipal securities - Debt securities and government obligations |
| Topic 2: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Trade settlement and confirmation rules - Regulatory requirements for transaction processing |
| 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: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. The Bubba Insurance Company is not incorporated. It consists of Bubba and his two brothers as general
partners, who maintain an active securities account in the name of the company. If one of the partners
should suddenly die, what course of actions should be undertaken by the registered representative at the
brokerage?
A) no special action is required because the death of a single partner does not terminate the partnership
agreement
B) execute sell orders but do not accept buy orders or distribute assets from the account until a new
partnership agreement is provided to the brokerage
C) distribute the assets in the account to the surviving partners
D) freeze the account from further activity until a death certificate and new partnership agreement are
furnished to the brokerage
2. What is the name for the rate of discount from the list price that is paid to a municipal securities
underwriting group member for its sales participation?
A) takedown
B) spread
C) commission
D) concession
3. On which of the following is depreciation permitted?
A) property whose maintenance exceeds the investment credit
B) residential property not used for business
C) rental property whose value is declining
D) equipment subject to recapture
4. Although a corporation has no earnings in a particular year, it is obligated to pay interest on all its
outstanding debt except the following:
A) collateral trust bonds
B) convertible subordinated debentures
C) adjustment bonds
D) equipment trust certificates
5. The public offering price of the securities of an open-end management investment company is:
A) the price used by distributors in determining sales incentive discounts to individual purchasers
B) determined by a method set forth in the prospectus of the issuer
C) determined by the relative demand for the shares of the issuer
D) based upon net asset value of the securities underlying the shares of the issuer plus a 10 % sales
charge
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: B |
