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FINRA Series7 valid exam - in .pdf Free Demo

  • Exam Code: Series7
  • Exam Name: General Securities Representative Examination (GS)
  • Last Updated: Jul 31, 2026
  • Q & A: 400 Questions and Answers
  • Convenient, easy to study. Printable FINRA Series7 PDF Format. It is an electronic file format regardless of the operating system platform. 100% Money Back Guarantee.
  • PDF Price: $49.98    

FINRA Series7 valid exam - Testing Engine PC Screenshot

  • Exam Code: Series7
  • Exam Name: General Securities Representative Examination (GS)
  • Last Updated: Jul 31, 2026
  • Q & A: 400 Questions and Answers
  • Uses the World Class Series7 Testing Engine. Free updates for one year. Real Series7 exam questions with answers. Install on multiple computers for self-paced, at-your-convenience training.
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FINRA Series7 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers9%- Customer acquisition and prospecting
  • 1. Business development activities
  • 2. Communications with the public
Topic 2: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions7%- Trade execution and settlement
  • 1. Order handling
  • 2. Settlement and confirmations
  • 3. Trade processing
  • 4. Books and records requirements
Topic 3: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives11%- Customer accounts and documentation
  • 1. Account types and registrations
  • 2. Suitability and customer profile
  • 3. Customer identification requirements
Topic 4: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records73%- Investment products
  • 1. Options
  • 2. Debt securities
  • 3. Municipal securities
  • 4. Equity securities
  • 5. Direct participation programs
  • 6. Investment companies and variable products
  • 7. Government securities
- Customer recommendations and transactions
  • 1. Portfolio and risk considerations
  • 2. Asset transfers and record maintenance
  • 3. Suitability and best interest obligations

FINRA General Securities Representative Examination (GS) Sample Questions:

1. Partnership democracy is:

A) a prohibition against control by a single partner
B) a synonym for silent partner
C) permission granted to the general partner to act outside the partnership agreement
D) the sharing of management by all partners


2. Book value of a corporation is also know as:

A) net tangible asset value per share
B) intangible value
C) dilution value
D) par value


3. In a competitive bidding for mortgage bonds of a large public utility the winning underwriter is determined
by:

A) the refunding and sinking fund terms in the indenture
B) the highest dollar amount paid to the issuer
C) the shortest maturity date for the bonds
D) the lowest net interest cost to the issuer


4. An advertisement for a CMO security by a member of FINRA should disclose which of the following?

A) that the stated yield is an estimate that may vary passed upon prepayments and market factors
B) that the yield may be greater than the stated percentage but never less
C) the yield based upon the prevailing discount rate
D) the exact yield investor will earn


5. Bubba and his wife, Bubbette, maintain a joint account with a brokerage firm as "joint tenants in common".
Bubbette calls a registered representative at the brokerage and places an order to sell 100 shares of XYZ,
which is long in the account. Which of the following statements is correct about this order?

A) the order may not be accepted
B) it must be approved by an officer of the brokerage prior to entry
C) it may be entered
D) it may be entered only after confirming with Bubba


Solutions:

Question # 1
Answer: C
Question # 2
Answer: A
Question # 3
Answer: D
Question # 4
Answer: A
Question # 5
Answer: C

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