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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Customer recommendations and transactions
|
| Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
FINRA General Securities Representative Examination (GS) Sample Questions:
Crossover is best defined as:
- A. the point at which income exceeds deductions
- B. the fact that there are more general partners than limited partners
- C. the profit of limited partners exceeding profit of general partners
- D. the point at which the program becomes profitable
Correct Answer: A 🗳️
Explanation: Only visible for Prep4cram members. You can sign-up / login (it's free).
In considering the fairness of a firm's markup, the FINRA considers:
- A. dealer cost for the security
- B. amount of the transaction
- C. profitability of the member firm
- D. financial condition of the client
Correct Answer: B 🗳️
Explanation: Only visible for Prep4cram members. You can sign-up / login (it's free).
A 5% markup policy applies to:
- A. mutual funds
- B. riskless transactions
- C. registered secondaries
- D. primary distributions
Correct Answer: B 🗳️
Explanation: Only visible for Prep4cram members. You can sign-up / login (it's free).
A corporate bond is quoted as having a net change in value of plus one point. By how much did the bond
price increase?
- A. $1,000
- B. $10
- C. $1
- D. $100
Correct Answer: B 🗳️
Explanation: Only visible for Prep4cram members. You can sign-up / login (it's free).
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. do so if his allotment is insubstantial and not disproportionate to public orders
- B. not do so under any circumstance
- C. not do so for his own account, buy may purchase shares for his sister's account
- D. do so if he has a history of buying hot issues
Correct Answer: B 🗳️
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