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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Trade settlement and confirmation rules - Regulatory requirements for transaction processing |
| Topic 2: 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 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Options and derivative products - Recordkeeping and regulatory reporting - Investment companies, ETFs, and variable annuities - Municipal securities - Equity securities - Margin accounts and taxation - Debt securities and government obligations - Direct participation programs |
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications - Customer communication and solicitation rules |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question #1
What percentage load is associated with a mutual fund quoted 16.60-18.04?
A. 8%
B. 8.7%
C. 9%
D. cannot be determined from this information
Question #2
Which of the following would not be subject to the holding period restrictions under Rule 144?
A. restricted stock acquired via private placement
B. restricted stock acquired via investment letter
C. restricted stock acquired via open market purchase
D. restricted stock acquired via stock options plan
Question #3
Smart Company, Inc., has cash it intends to use in six months for purchase of equipment. The most
prudent investment during the six-month period is:
A. treasury bonds
B. treasury bills
C. preferred stock
D. common stock
Question #4
A mutual fund with an 8% load and a 1% redemption fee carries a current quote of $6.25 - $6.79. If an
investor has tendered his shares for redemption on that basis, the per share price he will receive is
approximately:
A. $6.72
B. $6.79
C. $6.19
D. $6.25
Question #5
Which of the following are sources of funding for limited partnerships?
A. proceeds of the offering
B. installment payments
C. all of the above
D. periodic assessments on the partners
Solutions:
| Question #1 Correct Answer: A | Question #2 Correct Answer: C | Question #3 Correct Answer: B | Question #4 Correct Answer: C | Question #5 Correct Answer: C |
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