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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment products
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following registered investment companies normally sells with an appropriate commission
added to the contract price?
A) an open-end investment company
B) a unit investment trust
C) a closed-end investment company
D) a face-amount certificate company
2. An offering price of 102 plus accrued interest applies to which of the following securities?
A) certificates of deposit
B) commercial paper
C) banker's acceptances
D) treasury bills
3. The definition of debentures is:
A) collateralized securities
B) a loan secured by real estate
C) a worthless security
D) securities backed by the general credit of the issuers but no specific collateral
4. The amount for which the securities of a close-end investment company are selling above net asset value
is know as:
A) sales charge
B) commission
C) premium
D) discount
5. What is the name for the rate of discount from the list price that is paid to a municipal securities
underwriting group member for its sales participation?
A) spread
B) takedown
C) commission
D) concession
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: B |
