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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% | - Account types and documentation requirements - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives |
| Topic 2: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Equity securities - Direct participation programs - Recordkeeping and regulatory reporting - Debt securities and government obligations - Margin accounts and taxation - Options and derivative products - Investment companies, ETFs, and variable annuities - Municipal securities |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules - Standards for advertising and public communications |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Regulatory requirements for transaction processing - Trade settlement and confirmation rules - Order types and execution procedures |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Bubba has a short margin account with a short market value of $22,000, a credit balance of $42,000, and
SMA of $500. What is the equity in Bubba's account?
A) $500
B) $37,000
C) $20,000
D) $20,500
2. Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the
prices listed
1 00 ABC $30
2 00 XYZ $70
2 00 QBB $40
2 00 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
What is the buying power in Bubba's account?
A) $3,000
B) $0
C) $11,000
D) $6,000
3. Bubba owns 200 shares of XYZ at $90, and wishes to hedge the position while generating income. What
is the best recommendation?
A) sell calls
B) sell puts
C) buy puts
D) buy calls
4. Bubba buys a bond issued at par with a 5% coupon that is convertible into common stock at $40. What
conversion ratio does Bubba determine?
A) 40
B) 25
C) 30
D) 15
5. Which of the following does not describe an underwriting procedure?
A) all or none
B) best efforts
C) standby
D) fill or kill
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: D |
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