Prepare with FINRA : Series7 exam braindumps as your best preparation materials
Updated: Jul 18, 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% |
| Exam Format: | Computer-based, Multiple-choice |
| Real Exam Qty: | 125 scored questions |
| Related Certifications: | Securities Industry Essentials (SIE) Exam General Securities Representative Registration (Series 7) |
| Exam Price: | USD 300 |
| Available Languages: | English |
| Certificate Validity Period: | Registration remains valid while properly maintained through a FINRA member firm; qualification may lapse if registration is terminated for two or more years unless otherwise permitted by FINRA rules. |
| Exam Duration: | 225 minutes |
| Sample Questions: | FINRA Series7 Sample Questions |
| Exam Way: | Computer-based examination administered at Prometric test centers under FINRA authorization. |
| Pre Condition: | Candidates must pass the Securities Industry Essentials (SIE) Exam and be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization member to obtain the Series 7 registration. |
| 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 | 9% | - Customer acquisition and prospecting
|
| Topic 2: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Topic 3: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Topic 4: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Customer recommendations and transactions
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. An employer profit sharing plan may be described as:
A) an income tax deduction
B) a retirement plan
C) a tax deferral plan
D) all of the above
2. Approval for a registered investment company to change is investment objective from income to growth is
required from which of the following?
A) a majority of the shareholders
B) the FINRA
C) the SEC
D) all of the above
3. Bubba is buying a Federal Home Loan Bank issue that is offered at 95.22. How much will he pay to
purchase one bond?
A) $951.63
B) $95.22
C) $952.20
D) $956.88
4. Which of the following does not decrease basis?
A) cash or property paid out
B) depletion of real property
C) losses
D) income from extraordinary sources
5. A provision under which an underwriter can cancel a proposed public offering due to some unforeseen
occurrence is known as a:
A) blue sky provision
B) contra-market clause
C) fill or kill provision
D) market-out clause
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: D |
FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Passing Score: | 72% |
| Exam Format: | Computer-based, Multiple-choice |
| Real Exam Qty: | 125 scored questions |
| Related Certifications: | Securities Industry Essentials (SIE) Exam General Securities Representative Registration (Series 7) |
| Exam Price: | USD 300 |
| Available Languages: | English |
| Certificate Validity Period: | Registration remains valid while properly maintained through a FINRA member firm; qualification may lapse if registration is terminated for two or more years unless otherwise permitted by FINRA rules. |
| Exam Duration: | 225 minutes |
| Sample Questions: | FINRA Series7 Sample Questions |
| Exam Way: | Computer-based examination administered at Prometric test centers under FINRA authorization. |
| Pre Condition: | Candidates must pass the Securities Industry Essentials (SIE) Exam and be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization member to obtain the Series 7 registration. |
| 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 | 9% | - Customer acquisition and prospecting
|
| Topic 2: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Topic 3: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Topic 4: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Customer recommendations and transactions
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. An employer profit sharing plan may be described as:
A) an income tax deduction
B) a retirement plan
C) a tax deferral plan
D) all of the above
2. Approval for a registered investment company to change is investment objective from income to growth is
required from which of the following?
A) a majority of the shareholders
B) the FINRA
C) the SEC
D) all of the above
3. Bubba is buying a Federal Home Loan Bank issue that is offered at 95.22. How much will he pay to
purchase one bond?
A) $951.63
B) $95.22
C) $952.20
D) $956.88
4. Which of the following does not decrease basis?
A) cash or property paid out
B) depletion of real property
C) losses
D) income from extraordinary sources
5. A provision under which an underwriter can cancel a proposed public offering due to some unforeseen
occurrence is known as a:
A) blue sky provision
B) contra-market clause
C) fill or kill provision
D) market-out clause
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: D |
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