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Financial Series-7 Exam (Series 7) Detailed Information
Series 7 Exam
This exam is administered by the Financial Industry Regulatory Authority (FINRA) and provides an individual with the qualifications necessary in order to make different types of trades with all types of general securities, excluding commodities and futures. It is also one of the steps necessary in order for a member firm associate to register with FINRA. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA. FINRA announced in 2015 that they will be making major changes to their exam structure by introducing The Securities Industry Essentials Exam (SIE)
1. Getting Started
3. Securities Transactions
4. Debt Securities
5. Municipal Securities
6. Packaged Securities
7. Retirement Accounts
9. Customer Accounts
10. Determining Customer Objectives
11. Portfolio Management
12. Risk and Tax Considerations
13. Rules and Regulations
The Series 7 exam is administered by the Financial Industry Regulatory Authority (FINRA) (previously the National Association of Securities Dealers (NASD)) and provides an individual with the qualifications necessary in order to process trades with all types of corporate securities, excluding commodities and futures. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA.
Because the Series 7 Examination intends to measure competence at an entry level, every effort is made to avoid including questions that can only be answered correctly by a small proportion of candidates. The measurement purpose of the Series 7 Examination is to determine whether or not a candidate has attained the level of competency required to function as a Registered Representative (RR), not to rate the candidate in relation to the candidate group. In other words, you are not competing with anyone. You are just taking an entry-level, pass-fail exam.Here is some more useful information:
Time Limit Six hours. Three in the morning, followed by a one-hour break, then three in the afternoon.
Questions 250 multiple choice questions Questions are comprised of inter-related components: functions, tasks, knowledge statements and rule knowledge
Passing Score 72%
Exam Fee $290 as of August 2012. For more see the FINRA Registration/Exam Fee Schedule.
Exam Date(s): Exams occur on any weekday. Find your US or International exam center here.
Prerequisites: You must be sponsored by a financial company who is a member of FINRA, or a Self-Regulatory Organization (SRO).
You probably already know about the Catch-22 inherent in getting a Series 7 license. To get a job in financial securities, you need a Series 7, but to get a Series 7, you need a job in financial securities.This presents a difficult, but not insurmountable, problem. There are similar hurdles to getting through any licensure or apprenticeship program for any job worth having. There is more than one way to get into the business, and within this section we will give you a few suggestions.
Series 7 Exam - General Securities Representative Examination (GS)
The Series 7 exam – the General Securities Representative Qualification Examination (GS) – assesses the competency of an entry-level registered representative to perform his or her job as a general securities representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.
The exam consists of 250 scored questions and an additional 10 unscored pretest questions. Candidates are given six hours to complete the exam and it is conducted in two three-hour sessions with 130 questions per session. The passing score is 72 percent.
Please see NASD Rule 1032(a) General Securities Representative for more information.
ON THIS PAGE
Taking The Exam
Using Reference Materials
The Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. It includes sample questions to acquaint a candidate with the types of multiple-choice questions on the exam. The outline is comprised of the five main job functions of a Series 7 representative:
Function 1—Seeks business for the broker-dealer through customers and potential customers
Function 2—Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objective
Function 3—Opens accounts, transfers assets and maintains appropriate account records
Function 4—Provides customers with information on investments and makes suitable recommendations
Function 5—Obtains and verifies customers’ purchases and sales instructions, enters orders, and follows up
Download: Series 7 Content Outline
The Series 7 does not have a prerequisite exam.
Please see Register a New Candidate for more information on the registration process.
A candidate who passes the Series 7 exam is qualified for the solicitation, purchase and/or sale of all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts.
Covered activities and products include:
Public offerings and/or private placements of corporate securities (stocks and bonds)
Money market funds
Unit investment trusts (UITs)
Exchange traded funds (ETFs)
Real estate investment trusts (REITs)
Options on mortgage-backed securities
Repos and certificates of accrual on government securities
Direct participation programs
Sale of municipal securities
Taking the Exam
The table below lists the allocation of exam questions for each main job function of a general securities representative.
Major Job Functions Percentage of Test Questions Number of Test Questions
(F1) Seeks business for the broker-dealer through customers and potential customers 27% 68
(F2) Evaluates customers’ other security holdings, financial situation and needs, financial status, tax status, and investment objectives. 11% 27
(F3) Open accounts, transfer assets, and maintains appropriate account records. 11% 27
(F4) Provides customers with information on investments and makes suitable recommendations. 28% 70
(F5) Obtains and maintains customer’s purchase and sales instructions, enters orders, and follows up. 23% 58
TOTAL 100% 250
See On the Day of Your Exam for more information.
1. If I pass the Series 7, will I be able to trade municipal securities?
If an individual took and passed the Series 7 prior to November 7, 2011, he or she will be able to trade municipal securities, structure municipal securities underwritings and perform certain other activities involving municipal securities.
If an individual took and passed the Series 7 on or after November 7, 2011, he or she will be qualified to engage only in municipal securities sales to, and purchases from customers. If an individual wants to be qualified to structure municipal securities underwritings or perform activities involving municipal securities that are beyond the scope of selling municipal securities to and purchasing municipal securities from customers, that individual would have to take and pass the Series 52 (Municipal Securities Representative Exam).
2. Does Series 7 serve as a pre-requisite to the Series 53 (Municipal Securities Principal Exam)?
If an individual took and passed the Series 7 prior to November 7, 2011, he or she is qualified to sit for the Series 53 examination.
If an individual took and passed the Series 7 on or after November 7, 2011, he or she would have to take and pass the Series 52 (Municipal Securities Representative Exam) as a prerequisite to taking the Series 53 examination.
3. What is the difference between Series 7 and Series 62?
The General Securities Representative Examination (Series 7) is an entry-level examination that qualifies the individual for registration with all self-regulatory organizations to trade:
corporate stocks and bonds
real estate investment trusts (REITs)
collateralized mortgage obligations (CMOs)
options-equity, index, and foreign currency
investment company products/variable contracts
direct participation programs
exchange traded funds (ETFs)
The Corporate Securities Limited Representative Examination (Series 62) satisfies a FINRA qualification requirement for individuals who will trade corporate securities only. These include:
corporate stocks and bonds
collateralized mortgage obligations (CMOs)
exchange traded funds (ETFs)
Using Reference Materials
The test administrator will provide whiteboard/dry erase marker and basic electronic calculators to the candidates, which must be returned to the test center administrator at the end of the testing session. Some test questions involve calculations. Only the provided calculators may be used during the examination.
The examination may contain questions that require the use of exhibits (e.g., charts, graphs, tables). If so, the questions will indicate when to refer to an exhibit.
Candidates are not permitted to bring any reference materials to testing sessions. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA administered examinations.