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Updated: Sep 08, 2026
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Passing Score: | 72% |
| Certificate Validity Period: | Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm |
| Exam Price: | $395 USD |
| Exam Format: | Multiple-choice, Computer-based, 4 answer options per question |
| Related Certifications: | Series 66 Series 63 Securities Industry Essentials (SIE) Series 65 Series 6 |
| Exam Duration: | 225 minutes |
| Available Languages: | English |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Recommended Training: | FINRA Content Outline PDF |
| Exam Registration: | FINRA Series 7 Registration Page FINRA Central Registration Depository (CRD) |
| 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: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications - Customer communication and solicitation rules |
| Topic 2: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Options and derivative products - Debt securities and government obligations - Margin accounts and taxation - Investment companies, ETFs, and variable annuities - Recordkeeping and regulatory reporting - Municipal securities - Equity securities - Direct participation programs |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Regulatory requirements for transaction processing - Trade settlement and confirmation rules - Order types and execution procedures |
| Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives |
FINRA General Securities Representative Examination (GS) Sample Questions:
What is the maximum amount of gift to customers or other individuals related to the securities business
that a registered representative is permitted to give?
- A. $50
- B. $100
- C. $500
- D. $200
Correct Answer: B 🗳️
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If a mutual fund has invested its assets by allocating about one-third each for bonds, preferred stocks, and
common stocks, it is identified as:
- A. a unit investment trust fund
- B. an income fund
- C. a balanced fund
- D. a specialized fund
Correct Answer: C 🗳️
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A mutual fund custodian is paid according to which of the following specifications when receiving deposits
from a shareholder's reinvestment plan?
- A. a percentage of the fund's net asset value
- B. a percentage of the sales charge
- C. a commission for each share purchased
- D. a processing fee
Correct Answer: D 🗳️
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The agreement between the members of a syndicate and the manager is known as the:
- A. selling agreement
- B. standby agreement
- C. underwriting agreement
- D. agreement among underwriters
Correct Answer: D 🗳️
Explanation: Only visible for Prep4King members. You can sign-up / login (it's free).
If a customer dies, the registered representative is required to:
- A. both A and B
- B. cancel all open (good 'til cancelled) orders
- C. await instructions and necessary papers from the executor of the estate
- D. sell out the account
Correct Answer: A 🗳️
Explanation: Only visible for Prep4King members. You can sign-up / login (it's free).
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