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Updated: Aug 02, 2026
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Real Exam Qty: | 125 scored questions |
| Passing Score: | 72% |
| Related Certifications: | Securities Industry Essentials (SIE) Exam General Securities Representative Registration (Series 7) |
| Exam Format: | Computer-based, Multiple-choice |
| Available Languages: | English |
| Certificate Validity Period: | Registration remains valid while properly maintained through a FINRA member firm; qualification may lapse if registration is terminated for two or more years unless otherwise permitted by FINRA rules. |
| Exam Price: | USD 300 |
| Exam Duration: | 225 minutes |
| Sample Questions: | FINRA Series7 Sample Questions |
| Exam Way: | Computer-based examination administered at Prometric test centers under FINRA authorization. |
| Pre Condition: | Candidates must pass the Securities Industry Essentials (SIE) Exam and be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization member to obtain the Series 7 registration. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series7 |
FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Customer recommendations and transactions
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following is not a practice of a mutual fund custodian?
A) maintaining sales records for the fund's underwriter
B) changing shareholder registrations on the fund's records
C) lending the fund's securities to banks or broker/dealers
D) disbursing dividends and capital gains to the fund's shareholders
2. Which of the following would not normally be a function of an investment banker?
A) underwriting new issues of securities
B) providing long-term capital needs to client companies
C) providing short-term capital needs to client companies
D) assisting in large secondary offerings of securities
3. Smart Guys Securities Corporation has given a workable bid to Better Guys Securities Corporation. If
market conditions change, Smart Guys may:
A) not change the bid unless first notifying the other dealer
B) not change the bid
C) change the bid
D) change the bid only with prior approval of the other dealer
4. How often must Investment companies issue financial statements to shareholders?
A) semi-annually
B) monthly
C) quarterly
D) annually
5. Municipal bonds would be least attractive as an investment for which of the following?
A) an insurance company
B) the executive officer of an industrial corporation in the highest income tax bracket
C) a pension fund
D) a commercial bank
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: C | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: C |
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