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FINRA Series7 Exam Syllabus Topics:

Section

Objectives

Topic 1: Job Functions Overview

- Function 4: Processes Orders and Maintains Appropriate Records

1. Maintains required documentation and recordkeeping standards
2. Weight: ~11% of exam content
3. Executes trades in accordance with customer instructions and regulations

- Function 3: Provides Customers with Information About Investments and Makes Suitable Recommendations

1. Weight: ~73% of exam content
2. Explains characteristics, risks, and features of investment products
3. Recommends equities, debt instruments, mutual funds, ETFs, options, and variable products

- Function 1: Seeks Business for the Broker-Dealer

1. Identifies investment opportunities and solicits new clients
2. Opens accounts after obtaining and evaluating customer financial information

- Function 2: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile

1. Determines investment objectives, risk tolerance, and financial situation
2. Ensures compliance with suitability and regulatory requirements

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

Under which of the following conditions may a registered representative of a firm that is an underwriter of
a new offering of common stock send to a client a copy of the firm's research report on that stock?

A. if his firm is not the managing underwriter
B. if he has permission of his employer
C. under no circumstances
D. if it is accompanied by a red herring

Reveal Solution Discussion 0

Correct Answer: C 🗳️