Series 7 General Securities Representative Qualification Examination (GS)
Last Update Mar 12, 2025
Total Questions : 400
If you want to pass the FINRA Series-7 exam on the first attempt, you need an updated study guide for the syllabus and concise and comprehensive study material which is available at Cramtick. Cramtick has all the authentic study material for the FINRA Series-7 exam syllabus. You must go through all this information and study guide while doing the preparation and before appearing for the Series-7 exam. Our IT professionals have planned and designed the FINRA Series 7 General Securities Representative Qualification Examination (GS) certification exam preparation guide in such a way to give the exam overview, practice questions, practice test, prerequisites, and information about exam topics facilitating you to go through the FINRA Series 7 General Securities Representative Qualification Examination (GS) exam. We endorse you to use the preparation material mentioned in this study guide to cover the entire FINRA Series-7 syllabus. Cramtick offers 2 formats of FINRA Series-7 exam preparation material. Every format that is available at Cramtick aids its customers with new practice questions in PDF format that is printable as hard copies of the syllabus. Cramtick also offers a software testing engine that is GUI based can run on Windows PC and MAC machines. Our testing engine is interactive helping you to keep your test record in your profile so that you can practice more and more until fully ready for the exam.
| Exam Name | Series 7 General Securities Representative Qualification Examination (GS) |
| Exam Code | Series-7 |
| Actual Exam Duration | 360 minutes |
| Expected no. of Questions in Actual Exam | 249 |
| Official Information | https://www.finra.org/registration-exams-ce/qualification-exams/series7 |
| See Expected Questions | FINRA Series-7 Expected Questions in Actual Exam |
| Take Self-Assessment | Use FINRA Series-7 Practice Test to Assess your preparation - Save Time and Reduce Chances of Failure |
| Section | Weight | Objectives |
|---|---|---|
| Function 1: Seeks Business for the Broker-Dealer fromCustomers and Potential Customers | 1.1 Contacts current and potential customers in person and by telephone, mail and electronic means;develops promotional and advertising materialsand seeks appropriate approvalsto distribute marketingmaterials 1.2 Describes investment products and services to current and potential customers with the intent of soliciting business |
|
| Function 2: Opens Accounts AfterObtaining and Evaluating Customersâ Financial Profileand Investment Objectives | 2.1 Informs customers of the types of accounts and provides disclosures regarding various account types and restrictions 2.2 Obtainsand updates customer information and documentation, including requiredlegal documents and identifiesand escalates suspicious activity 2.3 Makes reasonable efforts to obtain customer investment profile information including, but not limited to, the customer's other security holdings, financial situation and needs, tax status and investment objectives 2.4 Obtains supervisory approvals required to open accounts |
|
| Function 3: Provides Customers with Information AboutInvestments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 3.1 Provides customers with information aboutinvestment strategies, risks and rewards, and communicates relevant market, investment and research data to customers 3.2 Reviews and analyzes customers' investment profiles and product options to determine thatinvestmentrecommendationsmeet applicable standards 3.3 Provides requireddisclosures regardinginvestment productsand their characteristics, risks, servicesand expenses 3.4 Communicates with customersaboutaccount information, processes requests and retains documentation |
|
| Function 4: Obtains and Verifies Customersâ Purchase and Sales Instructionsand Agreements; Processes, Completes and Confirms Transactions | 4.1 Providescurrent quotes 4.2 Processes and confirms customers’ transactions pursuant to regulatory requirements and informs customers of delivery obligations and settlement procedures 4.3 Informs the appropriate supervisor and assists in the resolution of discrepancies, disputes, errors and complaints 4.4 Addresses margin issues |
Cramtick's authentic study material entails both practice questions and practice test. FINRA Series-7 exam questions and practice test are the best options to appear in the exam confidently and well-prepared. In order to pass the actual Series 7 General Securities Representative Qualification Examination (GS) Series-7 exam in the first attempt, you have to work really hard on these FINRA Series-7 questions, offering you with updated study guide, for the whole exam syllabus. While you are studying actual questions, you should also make use of the FINRA Series-7 practice test for self-analysis and actual exam simulation by taking it. Studying again and again of actual exam questions will remove your mistakes with the Series 7 General Securities Representative Qualification Examination (GS) Series-7 exam practice test. Online and windows-based, Mac-Based formats of the Series-7 exam practice tests are available for self-assessment.
General Securities Representative | Series-7 Questions Answers | Series-7 Test Prep | General Securities Representative Qualification Examination (GS) Questions PDF | Series-7 Online Exam | Series-7 Practice Test | Series-7 PDF | Series-7 Test Questions | Series-7 Study Material | Series-7 Exam Preparation | Series-7 Valid Dumps | Series-7 Real Questions | General Securities Representative Series-7 Exam Questions
TESTED 12 Mar 2025
