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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
How to Prepare For FINRA Series 7 Certification Exam
Preparation Guide for FINRA Series 7 Certification Exam
FINRA Series 7 Certification: Tips to survive if you don't have time to read all the page
The 7 Series review authorizes the holder to sell all types of products in securities, with the exception of commodities and futures. Officially known as the General Qualifying Examination for Securities Representatives, the Series 7 exam and its accreditation are managed by the Financial Sector Regulatory Authority (FINRA).
In the United States, stockbrokers must pass the Series 7 exam to obtain a commercial license. The 7 Series review focuses on investment risk, taxation, securities, and debt securities; securities, options, pension plans, and customer interactions.
In 2019, FINRA launched a distribution on 1 October 2018. of potential securities professionals. This introductory exam assesses a candidate's knowledge of basic information in the securities sector, including basic concepts for working in the sector
The purpose of the Series 7 license is to define a level of competence for a registered representative or securities dealer working in the securities sector. The 7 Series license is an essential requirement for a novice broker. The licensing exam covers a wide range of financial conditions and matters as well as the regulation of securities.
Candidates who pass the Series 7 exam can negotiate many securities, such as shares, mutual funds, options, municipal securities and variable contracts. The Series 7 license does not cover the sale of real estate or life insurance products. In addition to obtaining the Series 7 license, many states require registered representatives to take the Series 63 exam, also known as the state uniform agent law exam.
FINRA Series 7 Certification Path
- Step 1: Fist the applicant must take and pass the SIE Exam
- Step 2: After it Secure a Sponsorship
- Step 3: and then Study for the Series 7 Exam
- Step 4: At the end Pass the Series 7 Exam
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FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Types of accounts and ownership structures - Determining investment suitability - Account documentation and regulatory compliance - Customer information collection |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Prospecting and sales practices - Identification of potential customers - Regulatory requirements for communications with the public |
| Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment company securities and variable contracts - Portfolio analysis and risk management - Characteristics of equity securities - Municipal securities - Debt securities and government obligations - Options and derivative products - Taxation and regulatory rules - Direct participation programs |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Handling errors and discrepancies - Trade settlement and confirmation - Order types and execution procedures - Recordkeeping and reporting requirements |
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