How to study the FINRA Series 7 Certification Exam
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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What is the duration, language, and format of FINRA Series 7 Certification Exam
- Number of Questions: 125
- Format: Multiple choices, multiple answers
- Passing score: 72%
- Language: FINRA Series 7 offered in English (U.S.), Chinese (Simplified), Czech, Dutch, French, German, Hebrew, Italian, Japanese, Korean, Polish, Portuguese (Brazil), Russian, Spanish, and Turkish.
- Length of Examination: 225 minutes
FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account documentation and regulatory compliance - Types of accounts and ownership structures - Determining investment suitability - Customer information collection |
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Characteristics of equity securities - Investment company securities and variable contracts - Municipal securities - Portfolio analysis and risk management - Debt securities and government obligations - Taxation and regulatory rules - Direct participation programs - Options and derivative products |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Identification of potential customers - Prospecting and sales practices - Regulatory requirements for communications with the public |
| Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Trade settlement and confirmation - Order types and execution procedures - Recordkeeping and reporting requirements - Handling errors and discrepancies |
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