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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Municipal securities - Options and derivative products - Recordkeeping and regulatory reporting - Margin accounts and taxation - Direct participation programs - Equity securities - Investment companies, ETFs, and variable annuities - Debt securities and government obligations |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Regulatory requirements for transaction processing - Trade settlement and confirmation rules |
| Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance - Account types and documentation requirements |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following municipal bonds may be grouped under the classification of "revenue bonds"?
A) new housing authority
B) special tax
C) limited tax
D) general obligation
2. 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) $5,000
C) $6,000
D) $3,000
3. Mutual fund salespersons may not represent that a product is like of safer than:
A) an insurance policy
B) all of the above
C) a corporate debt instrument
D) a fixed annuity
4. When pricing callable municipal bonds, the "price to call" is based upon which of the following?
A) catastrophe calls
B) sinking fund calls
C) in-whole calls
D) partial calls
5. Bubba buys one XYZ November 65 call at $3 and one XYZ November 65 put at $2. XYZ is trading at $72.
The put expires and the call is closed at its intrinsic value. What is the resulting profit?
A) $300
B) $700
C) $500
D) $200
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: D |
