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Introduction to FINRA Series 7 Certification Exam
The Series 7 exam, the General Qualification Representatives Exam (GS) exam, assesses the competence of a registered representative at entry-level to exercise its function as the general representative of qualifications.
The exam measures the extent to which each candidate has the knowledge necessary to perform the essential functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government bonds.
Applicants must successfully complete the Securities Industry Essentials (SIE) and Series 7 exams to obtain registration from the Financial Representative General.
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
How to book FINRA Series 7 Certification Exams
Applicants wishing to take the Series 7 exam must be sponsored by a FINRA member company and FINRA has other Series 7 eligibility requirements. The company must submit a U4 form (uniform registration application in the field of qualifications) to register the candidate for the license exam. FINRA regulates the activities of brokerage firms and registered brokers, ensuring that anyone who sells securities products is qualified and tested.
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Provides Information About Investments | - Taxation and risk characteristics - Equities, fixed income, and packaged products |
| Topic 2: Makes Recommendations and Transfers Assets | - Suitability and recommendation rules - Account transfers and asset movement procedures |
| Topic 3: Processes Customer Orders | - Trade reporting and confirmation procedures - Order entry, execution, and settlement basics |
| Topic 4: Seeks Business for the Broker-Dealer | - Prospecting clients and marketing products - Understanding regulatory constraints on communications |
| Topic 5: Evaluates Customers' Financial Profile | - Financial status and suitability assessment - Customer investment objectives and risk tolerance |
