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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements |
| Topic 2: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Trade settlement and confirmation rules - Regulatory requirements for transaction processing |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements |
| Topic 4: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Equity securities - Direct participation programs - Margin accounts and taxation - Options and derivative products - Municipal securities - Recordkeeping and regulatory reporting - Debt securities and government obligations - Investment companies, ETFs, and variable annuities |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Bubba's margin account has $1,000 of SMA. If he buys $20,000 of listed securities, how much fully paid
margin stock must he deposit to respond to a Reg T requirement of 50%?
A) $20,000
B) $18,000
C) $9,000
D) 10,000
2. Bubba Corporation has a profit sharing plan. The company president, Bubba, is receiving the maximum
plan contribution amount. The corporation has one other employee, who is eligible for the plan. If this
person earns $12,000 per year, how much must be deposited in the plan for the employee?
A) $1,800
B) $12,000
C) $6,000
D) $3,000
3. XYZ Corporation earned $2 per share last year and is selling at $20 per share. If it earns $3 per share this
year and its price/earnings ratio stays the same, its price will be:
A) $30
B) $25
C) $60
D) $20
4. Bubba wants to buy a $4 convertible preferred with that has a $50 par value and is exchangeable for
common stock at $47.50. If the preferred stock is trading at 52, what does Bubba calculate as the
common stock price in order to be at parity with the preferred?
A) 52.00
B) 47.50
C) a little less than 49.38
D) a little more than 54.50
5. Which of the following are direct obligations of the US government?
A) Farm Credit System bonds
B) Series EE bonds
C) both B and C
D) Import-Export bank bonds
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: B |
