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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements - Financial profile, risk tolerance, and investment objectives - 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 |
| 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 |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Options and derivative products - Direct participation programs - Investment companies, ETFs, and variable annuities - Recordkeeping and regulatory reporting - Debt securities and government obligations - Equity securities - Municipal securities - Margin accounts and taxation |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question #1
Securities may be sold under SEC rule 144 provided that the following conditions are met:
A. they are sold in principal transactions only
B. both A and B
C. the company files regular financial data with the SEC
D. they are sold in agency transactions only
Question #2
A market-maker has purchased a particular stock over a period of time for prices as high as $9 per share
and as low as $3 per share. The average cost is approximately $6 per share. The current NASDAQ quote
for the stock is 5 to 5.25. According to the FINRA Conduct Rules, the dealer's offering price to the public
should be based upon:
A. $3
B. the current market for the stock
C. $9
D. $6
Question #3
What rate of return takes into consideration appreciation or depreciation in market value relating to the par
value of a debt security?
A. yield to maturity
B. current yield
C. nominal yield
D. basis yield
Question #4
Regulation A permits a short form of filing for offerings of new securities provided the total amount of the
offering does not exceed:
A. $2,000,000
B. $1,000,000
C. $5,000,000
D. $2,500,000
Question #5
Which of the following types of investment companies pays out 90% of its net investment income to
shareholders?
A. balanced
B. registered
C. diversified
D. regulated
Solutions:
| Question #1 Correct Answer: C | Question #2 Correct Answer: B | Question #3 Correct Answer: A | Question #4 Correct Answer: C | Question #5 Correct Answer: D |
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