Purchase FINRA : Series7 Exam Materials and then pass exam easily
Updated: Nov 06, 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 |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Related Certifications: | Series 6 Series 65 Series 63 Securities Industry Essentials (SIE) Series 66 |
| Exam Format: | 4 answer options per question, Multiple-choice, Computer-based |
| Available Languages: | English |
| Exam Price: | $395 USD |
| Certificate Validity Period: | Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm |
| Passing Score: | 72% |
| Exam Duration: | 225 minutes |
| 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 |
|---|---|---|
| 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 |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications - Customer communication and solicitation rules |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Regulatory requirements for transaction processing - Order types and execution procedures - Trade settlement and confirmation rules |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Debt securities and government obligations - Investment companies, ETFs, and variable annuities - Margin accounts and taxation - Equity securities - Recordkeeping and regulatory reporting - Options and derivative products - Municipal securities |
FINRA General Securities Representative Examination (GS) Sample Questions:
The return by the receiving party of securities previously accepted for delivery or a demand by the
delivering party for return of securities that have been delivered is called:
- A. re-delivery
- B. reclamation
- C. close-out
- D. rejection
Correct Answer: B 🗳️
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Which of the following statements is not true about exchange traded options?
- A. they are adjusted for stock splits
- B. they are adjusted for stock dividends
- C. they are adjusted for reverse splits
- D. they are adjusted for cash dividends
Correct Answer: D 🗳️
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If a customer fails to pay for securities purchased in a cash account, the member firm broker will do which
of the following?
- A. place the securities temporarily in a general account
- B. liquidate the securities or otherwise cancel the transaction
- C. purchase the securities for the firm's error account
- D. grant an extension for a bona fide reason
Correct Answer: B 🗳️
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Bubba has not existing positions in his account and writes 1 XYZ July 60 put and 1 XYZ July 60 call. What
is this position called?
- A. short combination
- B. long combination
- C. long straddle
- D. short straddle
Correct Answer: D 🗳️
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Bubba has a short margin account with equity of $15,000 and a credit balance of $28,000. What is the
current NYSE minimum equity maintenance requirement on Bubba's account?
- A. $3,250
- B. $4,500
- C. $3,750
- D. $3,900
Correct Answer: D 🗳️
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