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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment companies, ETFs, and variable annuities - Direct participation programs - Recordkeeping and regulatory reporting - Equity securities - Debt securities and government obligations - Municipal securities - Margin accounts and taxation - Options and derivative products |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Regulatory requirements for transaction processing - Trade settlement and confirmation rules - Order types and execution procedures |
| 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 |
| 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 |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
Feasibility studies and engineering surveys are most necessary prior to which of the following new
offerings?
A. revenue bonds
B. corporate debentures
C. limited tax bonds
D. general obligation bonds
Question 2
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
Question 3
Under the terms of the 1970 Securities Investor Protection Act, what is the status of a customer whose
account assets exceed SIPC insurance coverage when his broker/dealer becomes insolvent?
A. the customer becomes a general creditor of the insolvent firm for the amount of deficiency
B. all broker/dealers are assessed to fully satisfy the deficiency
C. SIPC will issue a debenture to guarantee eventual repayment of the deficiency
D. the US Treasury is pledged to make up the deficiency
Question 4
A CMO is issued that has three tranches. One has an average life of 2 years. A second has an average
life of 10 years. The third has an average life of 30 years. Initially, interest payments are distributed in this
order:
A. equally to all CMO holders of any tranche
B. first to the holders of the 30-year tranche
C. first to the holders of the 2-year tranche
D. first to the holders of the 10-year tranche
Question 5
The accounting statement that represents a company's financial position on a particular date is the:
A. balance sheet
B. cash flow statement
C. income statement
D. Profit and Loss
Solutions:
| Question 1 Answer: A | Question 2 Answer: B | Question 3 Answer: A | Question 4 Answer: A | Question 5 Answer: A |
