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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 - Customer communication and solicitation rules - Standards for advertising and public communications |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Recordkeeping and regulatory reporting - Municipal securities - Debt securities and government obligations - Margin accounts and taxation - Equity securities - Options and derivative products - Direct participation programs - Investment companies, ETFs, and variable annuities |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements - Suitability rules and regulatory compliance |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Regulatory requirements for transaction processing - Trade settlement and confirmation rules |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. The cost of maintaining an investment in a mutual fund is best reflected in the:
A) net investment income
B) expense ratio
C) custodial fee
D) sales charge
2. Which of the following is normally the largest asset of a manufacturing company?
A) notes receivable
B) sales
C) accounts receivable
D) inventory
3. Which of the following are direct obligations of the US government?
A) both B and C
B) Import-Export bank bonds
C) Farm Credit System bonds
D) Series EE bonds
4. Which of the following is not true about brokerage accounts?
A) stock purchased in a custodian account may not be purchased on margin or held in bearer form
B) if a fiduciary intends to buy stocks in a margin account the trust agreement authorizing the margin
transactions must be kept on file at the brokerage firm
C) in a community property state a married woman must open a brokerage account with her husband
D) numbered accounts are permissible provided there is a record kept on file at the brokerage firm
attesting to the actual ownership
5. With the Regulation T requirement at 50%, a firm wishes to impose house rules that require a minimum
equity of 40%. Which of the following is true?
A) this cannot be implemented because the level is below Reg T
B) this is permissible
C) this action must be approved by the FRB and FINRA
D) this cannot be implemented since maintenance requirements are only 25% of equity for long positions
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: B |
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