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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules - Standards for advertising and public communications |
| 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 |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Recordkeeping and regulatory reporting - Equity securities - Margin accounts and taxation - Direct participation programs - Investment companies, ETFs, and variable annuities - Municipal securities - Debt securities and government obligations - Options and derivative products |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following is not provided for by Blue Sky laws?
A) registration of representatives
B) registration of securities dealers
C) interstate mail fraud in securities offerings
D) registration of securities offered in the state
2. An investment company incapable of issuing a long-term debt instrument is:
A) a unit investment trust
B) a face-amount certificate company
C) an open-end investment company
D) a closed-end investment company
3. Which of the following statements regarding mutual funds is true?
A) the custodian can also be the transfer agent
B) the management company receives a portion of the sales load for managing the fund assets
C) the terms "management company" and "investment advisor" are interchangeable
D) the sponsor receives a management fee based on the fund's totalassets
4. A front-end loan mutual fund plan is most suitable for:
A) an automatic withdrawal plan
B) a contractualplan
C) an optional withdrawal plan
D) a voluntary accumulation plan
5. What type of mutual fund would invest in equities and bonds?
A) technology
B) balanced
C) growth
D) dual purpose
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: B |
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