Prepare with FINRA : Series7 exam braindumps as your best preparation materials
Updated: Nov 05, 2026
No. of Questions: 400 Questions & Answers with Testing Engine
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Available Languages: | English |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Exam Format: | Computer-based, 4 answer options per question, Multiple-choice |
| Related Certifications: | Series 66 Series 65 Series 63 Series 6 Securities Industry Essentials (SIE) |
| Passing Score: | 72% |
| Certificate Validity Period: | Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm |
| Exam Duration: | 225 minutes |
| Exam Price: | $395 USD |
| Recommended Training: | FINRA Content Outline PDF |
| Exam Registration: | FINRA Series 7 Registration Page FINRA Central Registration Depository (CRD) |
| Sample Questions: | FINRA Series7 Sample Questions |
| Exam Way: | Computer-based testing at authorized Pearson VUE or Prometric test centers |
| Pre Condition: | Must pass SIE exam; must be sponsored by a FINRA/SRO member firm |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series7 |
FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Trade settlement and confirmation rules - Regulatory requirements for transaction processing - Order types and execution procedures |
| Topic 2: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Municipal securities - Direct participation programs - Margin accounts and taxation - Investment companies, ETFs, and variable annuities - Debt securities and government obligations - Equity securities - Options and derivative products - Recordkeeping and regulatory reporting |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements |
| Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements |
FINRA General Securities Representative Examination (GS) Sample Questions:
Which of the following does not decrease basis?
- A. cash or property paid out
- B. depletion of real property
- C. losses
- D. income from extraordinary sources
Correct Answer: D 🗳️
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The initial Federal Reserve Bank margin requirement is set at 60% and Bubba purchases 100 shares of
XYZ at $100 per share. He deposits $6,000 of the $10,000 purchase price in his account. If XYZ
increases in value to $150 per share, how much excess equity would Bubba have in his account?
- A. $2,000
- B. $1,500
- C. $3,000
- D. $1,000
Correct Answer: A 🗳️
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When does a call option provide the most value to its holder?
- A. when the underlying stock is extremely volatile
- B. in the month prior to its expiration
- C. when the underlying stock price is rising
- D. when there is a large open interest in that class of option
Correct Answer: C 🗳️
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Which of the following receives the highest priority of a municipal bond trustee when applying income and
revenue derived from a financed toll facility?
- A. operation and maintenance fund
- B. reserve maintenance fund
- C. bond service account fund
- D. renewal and replacement fund
Correct Answer: A 🗳️
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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. discount
- C. premium
- D. commission
Correct Answer: C 🗳️
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