Exam Code: Series7
Exam Name: General Securities Representative Examination (GS)
Certification Provider: FINRA
Corresponding Certification: FINRA Certification

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FINRA Series7 Exam Syllabus Topics:

Section

Objectives

Topic 1: Job Functions Overview

- Function 3: Provides Customers with Information About Investments and Makes Suitable Recommendations

1. Weight: ~73% of exam content
2. Explains characteristics, risks, and features of investment products
3. Recommends equities, debt instruments, mutual funds, ETFs, options, and variable products

- Function 1: Seeks Business for the Broker-Dealer

1. Identifies investment opportunities and solicits new clients
2. Opens accounts after obtaining and evaluating customer financial information

- Function 2: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile

1. Ensures compliance with suitability and regulatory requirements
2. Determines investment objectives, risk tolerance, and financial situation

- Function 4: Processes Orders and Maintains Appropriate Records

1. Executes trades in accordance with customer instructions and regulations
2. Weight: ~11% of exam content
3. Maintains required documentation and recordkeeping standards

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

In a triple net lease, which of the following is the tenant not responsible for paying?

A. taxes
B. insurance premiums
C. maintenance
D. financing charges

Answer: D