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The Series-7 certification exam covers a wide range of topics related to the securities industry. Some of the topics that candidates will be tested on include equity securities, debt securities, investment company securities, options, direct participation programs, and municipal securities. Additionally, the exam will test candidates on their knowledge of FINRA rules and regulations, ethical standards, and professional conduct.
It is a universally accepted fact that the Series-7 exam is a tough nut to crack for the majority of candidates, but there are still a lot of people in this field who long to gain the related certification so that a lot of people want to try their best to meet the challenge of the Series-7 exam. A growing number of people know that if they have the chance to pass the exam, they will change their present situation and get a more decent job in the near future. More and more people have realized that they need to try their best to prepare for the Series-7 exam.
The Financial Industry Regulatory Authority (FINRA) Series-7 General Securities Representative Qualification Examination (GS) is an industry-standard licensing exam for professionals who wish to work in the securities industry. Series-7 exam helps to ensure that financial professionals are knowledgeable about the securities they are selling to clients and are complying with industry regulations.
The Series-7 Exam consists of 125 multiple-choice questions that must be answered within 3 hours and 45 minutes. Series-7 exam is divided into two parts: the first part comprises 85 questions, while the second part consists of 40 questions. The questions are designed to evaluate the candidate's understanding of securities markets, investment strategies, and financial regulations. Series-7 exam is computer-based, and the results are reported immediately upon completion.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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| Section | Objectives |
|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | |
| Topic 3: Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | |
| Topic 4: Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records |
1315 Customer ReviewsCustomers Feedback (* Some similar or old comments have been hidden.)Feedback from Sheldon, I passed this Series-7 exam.
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Ferdinand
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