Instantly download Series7 updated real questions
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Updated: Jul 28, 2026
No. of Questions: 400 Questions & Answers with Testing Engine
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Certificate Validity Period: | Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm |
| Exam Price: | $395 USD |
| Related Certifications: | Securities Industry Essentials (SIE) Series 6 Series 63 Series 65 Series 66 |
| Available Languages: | English |
| Exam Duration: | 225 minutes |
| Exam Format: | Computer-based, Multiple-choice, 4 answer options per question |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Passing Score: | 72% |
| Recommended Training: | FINRA Content Outline PDF |
| Exam Registration: | FINRA Series 7 Registration Page FINRA Central Registration Depository (CRD) |
| 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: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Regulatory requirements for transaction processing - Trade settlement and confirmation rules - Order types and execution procedures |
| Topic 2: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Municipal securities - Investment companies, ETFs, and variable annuities - Debt securities and government obligations - Equity securities - Margin accounts and taxation - Options and derivative products - Direct participation programs - Recordkeeping and regulatory reporting |
| Topic 3: 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 |
| Topic 4: 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 |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the information below does not appear in the official notice of sale?
A) the names of underwriting syndicate members
B) the amount of required good faith check
C) the method and place of settlement
D) the type of bond
2. In a triple net lease, which of the following is the tenant not responsible for paying?
A) taxes
B) insurance premiums
C) maintenance
D) financing charges
3. Limited partnerships try to avoid recapture because:
A) it may subject the partnership to the add-on tax
B) it always increases the investor's tax bracket
C) it turns potential capital gains into current taxable income
D) it increases the risk of a tax audit
4. A tax-free rollover of assets between qualified retirement plans for the benefit of a specific individual is
permitted so long as it is accomplished within:
A) 30 days
B) 90 days
C) one year
D) 60 days
5. Registration of open-end investment company shares with the SEC implies that the:
A) SEC approves the issue
B) prospectus contains the significant facts about the issue
C) SEC guarantees the accuracy of the disclosures in the registration statement
D) shares have investment merit
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: B |
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