FINRA Series-7 : General Securities Representative Qualification Examination (GS)

Pass Series-7 Exam Cram

Exam Code: Series-7

Exam Name: General Securities Representative Qualification Examination (GS)

Updated: Sep 09, 2026

Q & A: 402 Questions and Answers

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FINRA Series 7 Exam Reference

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7

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Topics of FINRA Series 7 Certification Exam

Candidates must know the exam topics before they start of preparation. Because it will really help them in hitting the core. Our FINRA Series 7 exam dumps will include the following topics:

  • Options
  • Retirement plans
  • Taxation
  • Investment risk
  • Equity, and debt instruments
  • Packaged Securities
  • Interactions with clients
FINRA Series-7 Exam Syllabus Topics:
SectionWeightObjectives
Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions11%- Trade settlement and confirmation
- Handling errors and discrepancies
- Order types and execution procedures
- Recordkeeping and reporting requirements
Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records73%- Municipal securities
- Debt securities and government obligations
- Options and derivative products
- Direct participation programs
- Portfolio analysis and risk management
- Investment company securities and variable contracts
- Characteristics of equity securities
- Taxation and regulatory rules
Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives9%- Types of accounts and ownership structures
- Account documentation and regulatory compliance
- Customer information collection
- Determining investment suitability
Seeks Business for the Broker-Dealer from Customers and Potential Customers7%- Regulatory requirements for communications with the public
- Identification of potential customers
- Prospecting and sales practices
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