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FINRA Series-7 Exam Syllabus Topics:

Topic 1
  • Seminars, lectures and other group forum requirements
  • Persons Deemed Not To Be Engaged in a Distribution and Therefore Not Underwriters
Topic 2
  • Summary Prospectuses for Open-End Management Investment Companies
  • Approval and Documentation of Changes in Account Name or Designation
Topic 3
  • Transactions withEmployees and Partners of Other Municipal Securities Professionals
  • Communications with the Public about Variable Life Insurance and Variable Annuities
Topic 4
  • Authorization Records for Negotiable Instruments Drawn from a Customer’s Accounts
  • Standards and required approvals of public communications

Introduction to FINRA Series 7 Certification Exam

The Series 7 exam, the General Qualification Representatives Exam (GS) exam, assesses the competence of a registered representative at entry-level to exercise its function as the general representative of qualifications.

The exam measures the extent to which each candidate has the knowledge necessary to perform the essential functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government bonds.

Applicants must successfully complete the Securities Industry Essentials (SIE) and Series 7 exams to obtain registration from the Financial Representative General.

>> Series-7 Official Study Guide <<

Series-7 Official Study Guide - How to Prepare for FINRA Series-7 Efficiently and Easily

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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q76-Q81):

Revenue bonds are least likely to provide constructions funds for:

  • A. a toll highway
  • B. a pollution control facility
  • C. a public school
  • D. an airport

Answer: C

Explanation: a public school. Schools are typically financed by general obligation bonds. The other choices are examples of revenue bonds.

Bubba is a registered representative who wishes to buy shares of a new issue his firm is distributing.
Under FINRA Conduct Rules, Bubba may:

  • A. not do so for his own account, buy may purchase shares for his sister's account
  • B. do so if his allotment is insubstantial and not disproportionate to public orders
  • C. do so if he has a history of buying hot issues
  • D. not do so under any circumstance

Answer: D

Explanation: not do so under any circumstance. New issues may not be distributed to Bubba or members of his immediate family.

Which of the following situations is possible for a writer of a covered call option?

  • A. selling the security, he already owns
  • B. buying the underlying stock if the call is exercised
  • C. purchasing a put option to hedge against unlimited loss potential
  • D. depositing margin into his account

Answer: A

selling the security he already owns. A "covered" call is written on stock already owned.

Which of the following is available both to owners of stock and owners of limited partnership participations?

  • A. tax credits
  • B. deduction of business expenses from income
  • C. deductions for losses in excess of income earned
  • D. a share in the profits from earnings

Answer: D

Explanation: a share in the profits from earnings. Both shareholders and limited partners share in the profits from earnings.

Maintaining a fair and orderly market and acting as a broker's broker are dual functions of the:

  • A. odd-lot dealer
  • B. specialist
  • C. competitive trader
  • D. two-dollar broker

Answer: B

Explanation: specialists. This description defines the function of the specialists.


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