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, 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.

  • Exam Code: Series-7
  • Exam Name: General Securities Representative Qualification Examination (GS)
  • Total Questions: 402

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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

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7

FINRA Series-7 Exam Syllabus Topics:

SectionObjectives
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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