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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%	- Investment products 1. Options 2. Direct participation programs 3. Investment companies and variable products 4. Equity securities 5. Municipal securities 6. Debt securities 7. Government securities - Customer recommendations and transactions 1. Asset transfers and record maintenance 2. Suitability and best interest obligations 3. Portfolio and risk considerations
Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers	9%	- Customer acquisition and prospecting 1. Business development activities 2. Communications with the public
Topic 3: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions	7%	- Trade execution and settlement 1. Settlement and confirmations 2. Trade processing 3. Books and records requirements 4. Order handling
Topic 4: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives	11%	- Customer accounts and documentation 1. Suitability and customer profile 2. Account types and registrations 3. Customer identification requirements

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

A limit order is best describes as an order:

A. to be executed at a specific price or better
B. that is in effect for only one day
C. to buy at a specific price or lower
D. to sell at a specific price or higher

Reveal Solution Discussion 0

Correct Answer: A 🗳️