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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 - Debt securities and government obligations - Investment companies, ETFs, and variable annuities - Recordkeeping and regulatory reporting - Direct participation programs - Options and derivative products - Equity securities - Municipal securities |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements |
| Topic 3: 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 |
| Topic 4: 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 |
FINRA General Securities Representative Examination (GS) Sample Questions:
Bubba has a short margin account with equity of $15,000 and a credit balance of $28,000. What is the
current NYSE minimum equity maintenance requirement on Bubba's account?
- A. $3,900
- B. $4,500
- C. $3,750
- D. $3,250
Correct Answer: A 🗳️
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Bubba purchases 100 shares of XYZ at 78 and, on the same day, writes 1 XYZ October 80 call for a
premium of 4. If the option expires unexercised, what is Bubba's profit on the 100 shares of stock?
- A. $400
- B. cannot be determined
- C. $600
- D. $200
Correct Answer: B 🗳️
Explanation: Only visible for DumpsTorrent members. You can sign-up / login (it's free).
Book value of a corporation is also know as:
- A. net tangible asset value per share
- B. intangible value
- C. par value
- D. dilution value
Correct Answer: A 🗳️
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Maintaining a fair and orderly market and acting as a broker's broker are dual functions of the:
- A. competitive trader
- B. two-dollar broker
- C. specialist
- D. odd-lot dealer
Correct Answer: C 🗳️
Explanation: Only visible for DumpsTorrent members. You can sign-up / login (it's free).
Which of the following must be true in order for an offering to qualify as an intrastate offering under Rule
1 47?
- A. all of the above are required
- B. 80% of the corporation's assets must be located in that state
- C. 80% of the corporation's revenue must be earned in that state
- D. 80% of the proceeds of the offering must be used in that state
Correct Answer: A 🗳️
Explanation: Only visible for DumpsTorrent members. You can sign-up / login (it's free).
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