General Securities Representative Qualification Examination (GS): Series-7 Exam
"General Securities Representative Qualification Examination (GS)", also known as Series-7 exam, is a FINRA Certification. With the complete collection of questions and answers, Pass4sureCert has assembled to take you through 402 Q&As to your Series-7 Exam preparation. In the Series-7 exam resources, you will cover every field and category in General Securities Representative Certification helping to ready you for your successful FINRA Certification.
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How much FINRA Series 7 Certification Exam cost
The Series 7 exam is officially known as the general exam of securities representatives. It is a highly regulated exam that must be taken in an official test center. The cost to take the test is at least $ 265, with some areas in charge a little more.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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FINRA Series 7 Certification Path
- Step 1: Fist the applicant must take and pass the SIE Exam
- Step 2: After it Secure a Sponsorship
- Step 3: and then Study for the Series 7 Exam
- Step 4: At the end Pass the Series 7 Exam
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Topics of FINRA Series 7 Certification Exam
Candidates must know the exam topics before they start of preparation. Because it will really help them in hitting the core. Our FINRA Series 7 exam dumps will include the following topics:
- Interactions with clients
- Packaged Securities
- Investment risk
- Retirement plans
- Taxation
- Equity, and debt instruments
- Options
FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Recordkeeping and reporting requirements - Handling errors and discrepancies - Trade settlement and confirmation - Order types and execution procedures |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Identification of potential customers - Regulatory requirements for communications with the public - Prospecting and sales practices |
| Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Taxation and regulatory rules - Direct participation programs - Municipal securities - Investment company securities and variable contracts - Characteristics of equity securities - Debt securities and government obligations - Options and derivative products - Portfolio analysis and risk management |
| Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account documentation and regulatory compliance - Determining investment suitability - Customer information collection - Types of accounts and ownership structures |
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