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Instant Download FINRA : Series7 Questions & Answers as PDF & Test Engine
- Exam Code: Series7
- Exam Name: General Securities Representative Examination (GS)
- Updated: Aug 07, 2026
- No. of Questions: 400 Questions and Answers
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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Trade settlement and confirmation rules - Regulatory requirements for transaction processing |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements - Suitability rules and regulatory compliance |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Equity securities - Margin accounts and taxation - Investment companies, ETFs, and variable annuities - Recordkeeping and regulatory reporting - Options and derivative products - Municipal securities - Direct participation programs - Debt securities and government obligations |
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Municipal syndicate allocation procedures are described in which of the following?
A) underwriting agreement
B) syndicate account letter
C) official statement
D) agreement among the underwriters
2. Although a corporation has no earnings in a particular year, it is obligated to pay interest on all its
outstanding debt except the following:
A) equipment trust certificates
B) convertible subordinated debentures
C) collateral trust bonds
D) adjustment bonds
3. A corporate bond is quoted as having a net change in value of plus one point. By how much did the bond
price increase?
A) $1,000
B) $100
C) $1
D) $10
4. A call option is in the money when the market value of the underlying stock is:
A) lower than the strike price of the option
B) the same as the strike price of the option
C) higher than the strike price of the option
D) higher than the strike price plus the premium
5. Bubba Brokerage Corporation announces through its wire system that it has a large block of stock for sale.
Customers purchasing the stock will not pay a commission. The block is crossed on the NYSE floor and is
printed on the NYSE tape. This is called a:
A) special order
B) secondary distribution
C) specialist block purchase
D) exchange distribution
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: D |
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