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FINRA Series7 Exam Syllabus Topics:

Section

Objectives

Job Functions Overview

- 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 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

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

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

- 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

Call loans made by banks to broker/dealers are generally for the purpose of which of the following?

A. carrying margin accounts
B. meeting operating expenses
C. financing securities held in inventory
D. expansion of office facilities

Reveal Solution Discussion 0

Correct Answer: A 🗳️