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"General Securities Representative Qualification Examination (GS)", also known as Series-7 exam, is a FINRA Certification. With the complete collection of questions and answers, ExamcollectionPass 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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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
| Section | Objectives |
|---|---|
| Processes Customer Orders | - Order entry, execution, and settlement basics - Trade reporting and confirmation procedures |
| Seeks Business for the Broker-Dealer | - Prospecting clients and marketing products - Understanding regulatory constraints on communications |
| Makes Recommendations and Transfers Assets | - Account transfers and asset movement procedures - Suitability and recommendation rules |
| Provides Information About Investments | - Taxation and risk characteristics - Equities, fixed income, and packaged products |
| Evaluates Customers' Financial Profile | - Customer investment objectives and risk tolerance - Financial status and suitability assessment |
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