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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| 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 |
| 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 |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Options and derivative products - Direct participation programs - Debt securities and government obligations - Margin accounts and taxation - Equity securities - Recordkeeping and regulatory reporting - Municipal securities - Investment companies, ETFs, and variable annuities |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Trade settlement and confirmation rules - Order types and execution procedures - Regulatory requirements for transaction processing |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Bubba buys $100,000 of US Treasury 101/2 s of 31 on margin. If the current market price is 92.16, what is
Bubba's minimum deposit requirement?
A) $10,000
B) $5,550
C) $4,625
D) $25,000
2. Which of the following types of investment companies pays out 90% of its net investment income to
shareholders?
A) balanced
B) registered
C) regulated
D) diversified
3. Book value of a corporation is also know as:
A) intangible value
B) net tangible asset value per share
C) par value
D) dilution value
4. Which of the following sets of prices is that of a closed-end investment company?
A) $10.10 $11.00
B) $28.14 $27.75
C) $7.50 $8.10
D) $20.15 $21.85
5. Bubba buys a 5% bond that matures in 15 years with a 5.10 basis. How much did he pay for the bond?
A) 5.00
B) 98.96
C) 105.10
D) 100.00
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: B |
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