FINRA Series-7 : General Securities Representative Qualification Examination (GS)

  • Exam Code: Series-7
  • Exam Name: General Securities Representative Qualification Examination (GS)
  • Updated: Aug 09, 2026   Q&As: 402 Questions and Answers

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About FINRA Series-7 Exam

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For more info visit:

FINRA Series 7 Exam Reference

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7

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Topics of FINRA Series 7 Certification Exam

Candidates must know the exam topics before they start of preparation. Because it will really help them in hitting the core. Our FINRA Series 7 exam dumps will include the following topics:

  • Interactions with clients
  • Investment risk
  • Options
  • Packaged Securities
  • Equity, and debt instruments
  • Retirement plans
  • Taxation
FINRA Series-7 Exam Syllabus Topics:
SectionObjectives
Topic 1: Evaluates Customers' Financial Profile- Customer investment objectives and risk tolerance
- Financial status and suitability assessment
Topic 2: Makes Recommendations and Transfers Assets- Account transfers and asset movement procedures
- Suitability and recommendation rules
Topic 3: Seeks Business for the Broker-Dealer- Understanding regulatory constraints on communications
- Prospecting clients and marketing products
Topic 4: Processes Customer Orders- Trade reporting and confirmation procedures
- Order entry, execution, and settlement basics
Topic 5: Provides Information About Investments- Taxation and risk characteristics
- Equities, fixed income, and packaged products

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