Try FINRA : Series7 valid & accurate questions and answers
Updated: Jul 28, 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 |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Related Certifications: | Securities Industry Essentials (SIE) Series 6 Series 63 Series 65 Series 66 |
| Certificate Validity Period: | Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm |
| Exam Format: | Computer-based, Multiple-choice, 4 answer options per question |
| Exam Duration: | 225 minutes |
| Available Languages: | English |
| Passing Score: | 72% |
| Exam Price: | $395 USD |
| Recommended Training: | FINRA Content Outline PDF |
| Exam Registration: | FINRA Central Registration Depository (CRD) FINRA Series 7 Registration Page |
| 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: 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 |
| Topic 2: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment companies, ETFs, and variable annuities - Municipal securities - Options and derivative products - Debt securities and government obligations - Direct participation programs - Equity securities - Margin accounts and taxation - Recordkeeping and regulatory reporting |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Trade settlement and confirmation rules - Order types and execution procedures - Regulatory requirements for transaction processing |
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. The term "secondary market" refers to:
A) trading in issues of low quality
B) issues that banks are not permitted to underwrite
C) private placements
D) trading in outstanding issues
2. What does the following mean when printed on the stock exchange ticker tape?
A) the last sale of MST was for 100 shares at 98.25
B) one hundred shares of MST traded on the exchange and appear out of order on the tape
C) the preceding transaction in MST was tow or more points different than 98.25
D) trading was suspended on MST pending dissemination of news
3. Bubba buys $100,000 of US Treasury 101/2 s of 31 on margin. If the current market price is 92.16, what is
Bubba's minimum deposit requirement?
A) $10,000
B) $25,000
C) $4,625
D) $5,550
4. Which of the following is not prohibited of a general partner?
A) accepting compensation from any other partnership
B) competing in any way with the partnership
C) acting in such a way as to impede the orderly business of the partnership
D) buying or selling assets of the partnership except to foster the business of the partnership
5. Under which of the following was SIPC established?
A) Securities Act of 1933
B) Securities Investor Protection Act of 1970
C) Securities Exchange Act of 1934
D) Securities Exchange Reform Act of 1975
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: B | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: B |
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