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FINRA Series7 Exam Syllabus Topics:

Section

Objectives

Job Functions Overview

- 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 4: Processes Orders and Maintains Appropriate Records

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

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

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

- Function 1: Seeks Business for the Broker-Dealer

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

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

Bubba's margin account has $2,000 of SMA. If he buys $10,000 of new securities, how much additional
cash must he deposit assuming a Reg T requirement of 50%?

A. $4,800
B. $6,000
C. $5,000
D. $3,000

Reveal Solution Discussion 0

Correct Answer: D 🗳️