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
- Taxation
- Equity, and debt instruments
- Investment risk
- Retirement plans
- Packaged Securities
- Interactions with clients
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
Introduction to FINRA Series 7 Certification Exam
The Series 7 exam, the General Qualification Representatives Exam (GS) exam, assesses the competence of a registered representative at entry-level to exercise its function as the general representative of qualifications.
The exam measures the extent to which each candidate has the knowledge necessary to perform the essential functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government bonds.
Applicants must successfully complete the Securities Industry Essentials (SIE) and Series 7 exams to obtain registration from the Financial Representative General.
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FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Types of accounts and ownership structures - Determining investment suitability - Customer information collection - Account documentation and regulatory compliance |
| Topic 2: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Municipal securities - Portfolio analysis and risk management - Options and derivative products - Investment company securities and variable contracts - Characteristics of equity securities - Taxation and regulatory rules - Debt securities and government obligations - Direct participation programs |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Handling errors and discrepancies - Order types and execution procedures - Recordkeeping and reporting requirements - Trade settlement and confirmation |
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Regulatory requirements for communications with the public - Prospecting and sales practices - Identification of potential customers |
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