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Updated: Sep 04, 2026
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Available Languages: | English |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Passing Score: | 72% |
| Exam Duration: | 225 minutes |
| Related Certifications: | Series 63 Series 65 Series 6 Series 66 Securities Industry Essentials (SIE) |
| Exam Format: | Computer-based, 4 answer options per question, Multiple-choice |
| Certificate Validity Period: | Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm |
| Exam Price: | $395 USD |
| Recommended Training: | FINRA Content Outline PDF |
| Exam Registration: | FINRA Central Registration Depository (CRD) FINRA Series 7 Registration Page |
| Sample Questions: | FINRA Series7 Sample Questions |
| Exam Way: | Computer-based testing at authorized Pearson VUE or Prometric test centers |
| Pre Condition: | Must pass SIE exam; must be sponsored by a FINRA/SRO member firm |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series7 |
FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Options and derivative products - Municipal securities - Margin accounts and taxation - Direct participation programs - Equity securities - Debt securities and government obligations - Recordkeeping and regulatory reporting - Investment companies, ETFs, and variable annuities |
| Topic 2: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Regulatory requirements for transaction processing - Trade settlement and confirmation rules |
| Topic 3: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements |
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
A mutual fund with an 8% load and a 1% redemption fee carries a current quote of $6.25 - $6.79. If an
investor has tendered his shares for redemption on that basis, the per share price he will receive is
approximately:
A. $6.19
B. $6.79
C. $6.25
D. $6.72
Question 2
Which of the following is an acceptable deposit to answer an NYSE maintenance call?
A. all of the above
B. SMA
C. US treasury notes
D. US savings bond
Question 3
Which of the following option positions is indicative of the same class of option?
A. long one XYZ July 70 put and one XYZ July 70 call
B. long one XYZ October 20 call and one XYZ January 30 call
C. short one XYZ June 40 call and one ABC June 20 call
D. short one XYZ February 60 put and one ABC February 60 put
Question 4
A registered bond with "Happy Birthday" scrawled across the face of the certificate is delivered to a
broker/dealer in satisfaction of sale by another member firm. Assuming it is accompanied by an authentic
assignment, power of substitution form, and tax stamps (if appropriate), this is good delivery only if:
A. the certificate is validated by the transfer agent
B. the marking did not cover the name of the registered owner or the principal amount of the bond
C. the certificate is validated by the registered owner
D. this is not a good delivery under any circumstances
Question 5
Bubba opens an account at a broker/dealer with instructions to "transfer and ship". This means that:
A. each trade report must note Bubba's certificate registration instructions
B. transactions for Bubba will be transferred to another broker for processing
C. securities purchased must be registered in Bubba's name and then delivered to him
D. all correspondence to Bubba must be sent registered mail
Solutions:
| Question 1 Answer: A | Question 2 Answer: C | Question 3 Answer: B | Question 4 Answer: A | Question 5 Answer: C |
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Online Test Engine supports offline practice, while the precondition is that you should run it with the internet at the first time.
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PDF Version: can be read under the Adobe reader, or many other free readers, including OpenOffice, Foxit Reader and Google Docs.
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