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FINRA Series-7 (General Securities Representative Qualification Examination) is a certification exam that is administered by the Financial Industry Regulatory Authority (FINRA). Series-7 exam is designed to test the knowledge and skills of individuals who wish to become registered representatives in the securities industry. Passing Series-7 exam is a requirement for individuals who want to sell securities products such as stocks, bonds, mutual funds, and other investment products.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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FINRA Series-7 (General Securities Representative Qualification Examination) Certification Exam is a comprehensive test that is designed to assess the knowledge and skills of individuals who are interested in pursuing a career in the securities industry. Series-7 exam is administered by the Financial Industry Regulatory Authority (FINRA), which is a non-profit organization that regulates the securities industry in the United States. The Series-7 exam is a prerequisite for individuals who want to become a registered representative or a stockbroker.
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FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Trade settlement and confirmation - Order types and execution procedures - Recordkeeping and reporting requirements - Handling errors and discrepancies |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account documentation and regulatory compliance - Determining investment suitability - Types of accounts and ownership structures - Customer information collection |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Regulatory requirements for communications with the public - Identification of potential customers - Prospecting and sales practices |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Portfolio analysis and risk management - Direct participation programs - Options and derivative products - Debt securities and government obligations - Municipal securities - Characteristics of equity securities - Taxation and regulatory rules - Investment company securities and variable contracts |
