Exam Name: General Securities Representative Examination (GS)
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Equity securities - Recordkeeping and regulatory reporting - Debt securities and government obligations - Options and derivative products - Direct participation programs - Margin accounts and taxation - Investment companies, ETFs, and variable annuities - Municipal securities |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Trade settlement and confirmation rules - Regulatory requirements for transaction processing - Order types and execution procedures |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following does not describe an underwriting procedure?
A) fill or kill
B) best efforts
C) standby
D) all or none
2. Which of the following is considered an intangible asset?
A) marketable securities
B) furniture
C) accounts receivable
D) trademarks
3. Under what circumstances may a municipal securities dealer guarantee a customer against loss in market
value of bonds?
A) only if the bonds are insured
B) only if the bonds are rated AAA or Aaa
C) under no circumstances
D) only if the agreement is in writing
4. Regulation A permits a short form of filing for offerings of new securities provided the total amount of the
offering does not exceed:
A) $2,000,000
B) $5,000,000
C) $2,500,000
D) $1,000,000
5. Bonds are most often quoted as a percentage of:
A) book value
B) market value
C) face value
D) whatever value the broker says
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: C |
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