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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Customer recommendations and transactions
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following is not an attribute of US treasury bills?
A) interest is exempt from federal income taxes
B) is most often issued with three-month, six-month, and one-year maturities
C) always sells at a discount to face value
D) an unusually high degree of liquidity
2. According to FINRA Conduct Rules, a party judged guilty of a rule infraction by the District Business
Conduct Committee may then appeal to:
A) the public court system
B) the SEC
C) the FINRA Board of Arbitration
D) the FINRA Board of Governors
3. Which of the following would not be subject to the holding period restrictions under Rule 144?
A) restricted stock acquired via stock options plan
B) restricted stock acquired via private placement
C) restricted stock acquired via open market purchase
D) restricted stock acquired via investment letter
4. Which of the following would be least useful to an analyst making a technical market report?
A) the short interest
B) predictions of recession in the economy
C) advances and declines
D) new highs and lows
5. A provision under which an underwriter can cancel a proposed public offering due to some unforeseen
occurrence is known as a:
A) contra-market clause
B) market-out clause
C) blue sky provision
D) fill or kill provision
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: B |
