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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| 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 |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Debt securities and government obligations - Municipal securities - Equity securities - Recordkeeping and regulatory reporting - Margin accounts and taxation - Options and derivative products - Investment companies, ETFs, and variable annuities - Direct participation programs |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance - Account types and documentation requirements |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following activities by a limited partner may subject the partner to unlimited liability?
A) all of the above
B) making loans beyond those specified in the partnership agreement
C) participating in management of the partnership
D) committing the partnership in any manner
2. The gross spread in a new issue depends upon which of the following?
A) all of the above
B) the type of industry in which the issuer is engaged
C) the past record of the issuing corporation
D) the amount of the issue
3. Which of the following is not provided for by Blue Sky laws?
A) registration of representatives
B) registration of securities dealers
C) interstate mail fraud in securities offerings
D) registration of securities offered in the state
4. An "accumulation unit" of a variable annuity is used to determine which of the following?
A) the value of the annuitant's contract before annuity payments begin
B) the amount returned to the annuitant upon redemption of the account
C) the amount to be passed to the annuitant's beneficiary
D) the amount of annuity payments to be paid to the owner
5. Initial margin deposit minimum requirements are set by the:
A) FRB
B) FINRA
C) FDIC
D) NYSE
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: A |
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