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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment products
|
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Topic 3: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Topic 4: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. Which of the following statements regarding mutual funds is true?
A) the sponsor receives a management fee based on the fund's totalassets
B) the custodian can also be the transfer agent
C) the management company receives a portion of the sales load for managing the fund assets
D) the terms "management company" and "investment advisor" are interchangeable
2. Municipal bond brokers generally conduct the following:
A) trade for dealer banks
B) trade for non-bank dealers
C) trade for their own account
D) both A and B
3. Bubba wants to buy a US treasury bond with a bid of 97.28 and an asking of 98.2. How were these prices
established?
A) by competitive biding
B) by the terms of the bond
C) by the FINRA
D) by the Federal Reserve Board
4. Prospective bidders for a municipal bond being issued should consult what document for relevant
procedures?
A) the SEC Registration Statement
B) the offering circular
C) the official notice of sale
D) the Eastern account agreement
5. How much money is a concession of 3/8 worth for one municipal bond?
A) $37.50
B) $0.375
C) $3.75
D) $375.00
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: C |
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