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Updated: Sep 14, 2026
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| 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 Format: | Multiple-choice, 4 answer options per question, Computer-based |
| Available Languages: | English |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Related Certifications: | Series 66 Series 6 Series 65 Series 63 Securities Industry Essentials (SIE) |
| Exam Duration: | 225 minutes |
| 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: 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 2: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance - Account types and documentation requirements |
| Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Margin accounts and taxation - Options and derivative products - Recordkeeping and regulatory reporting - Equity securities - Debt securities and government obligations - Direct participation programs - Municipal securities - Investment companies, ETFs, and variable annuities |
| Topic 4: 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 |
FINRA General Securities Representative Examination (GS) Sample Questions:
A case of leverage is:
- A. selling common stock short and buying warrants for the equivalent number of shares followed by
subscribing to the shares and covering the short - B. borrowing at 6% and investing the funds at 10%
- C. buying stock on the NYSE and later selling it the same day on the CBOE
- D. redeeming a convertible bond before maturity
Correct Answer: B 🗳️
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Bubba wants to buy a $4 convertible preferred with that has a $50 par value and is exchangeable for
common stock at $47.50. If the preferred stock is trading at 52, what does Bubba calculate as the
common stock price in order to be at parity with the preferred?
- A. 52.00
- B. a little more than 54.50
- C. 47.50
- D. a little less than 49.38
Correct Answer: D 🗳️
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Bubba plans to borrow some money and pledge securities as collateral. Which of the following can he not
use as collateral?
- A. US treasury bonds
- B. Series EE bonds
- C. US treasury bills
- D. US treasury notes
Correct Answer: B 🗳️
Explanation: Only visible for Prep4King members. You can sign-up / login (it's free).
Bubba buys a bond issued at par with a 5% coupon that is convertible into common stock at $40. What
conversion ratio does Bubba determine?
- A. 30
- B. 25
- C. 15
- D. 40
Correct Answer: B 🗳️
Explanation: Only visible for Prep4King members. You can sign-up / login (it's free).
A mutual fund custodian is paid according to which of the following specifications when receiving deposits
from a shareholder's reinvestment plan?
- A. a percentage of the fund's net asset value
- B. a percentage of the sales charge
- C. a commission for each share purchased
- D. a processing fee
Correct Answer: D 🗳️
Explanation: Only visible for Prep4King members. You can sign-up / login (it's free).
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