Try FINRA : Series7 valid & accurate questions and answers
Updated: Sep 13, 2026
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Exam Format: | Computer-based, Multiple-choice |
| Passing Score: | 72% |
| Related Certifications: | General Securities Representative Registration (Series 7) Securities Industry Essentials (SIE) Exam |
| Exam Duration: | 225 minutes |
| Real Exam Qty: | 125 scored questions |
| Exam Price: | USD 300 |
| 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. |
| Available Languages: | English |
| 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:
If federal excise taxes were increased by the government, what would the typical investor do about his
securities portfolio?
- A. take no action as a result of the tax increase
- B. sell treasuries and invest in municipal bonds
- C. sell municipal bonds and invest in high quality growth stocks
- D. sell corporate bonds and invest in treasuries
Correct Answer: A 🗳️
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A treasury obligation having no fixed rate of interest with a thirty day maturity due April 22 is most likely a:
- A. Series H bond
- B. treasury note
- C. tax anticipation bill
- D. Series EE bond
Correct Answer: C 🗳️
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Bubba's margin account has $2,000 of SMA. If he buys $10,000 of new securities, how much additional
cash must he deposit assuming a Reg T requirement of 50%?
- A. $4,800
- B. $6,000
- C. $5,000
- D. $3,000
Correct Answer: D 🗳️
Explanation: Only visible for Exams-boost members. You can sign-up / login (it's free).
The registration requirements of the federal securities acts are intended to protect the public interest by
providing for a prospectus on new issues and its review by the SEC. Which of the following is the true of
this process?
- A. It provides the SEC with adequate information on which to base approval for new issues
- B. It does not imply SEC approval of the issue
- C. It relieves participating underwriters from any further responsibility for checking essential facts before
recommending purchase to the customers - D. It guarantees purchasers against an untrue statement of material fact or an omission of material fact
Correct Answer: A 🗳️
Explanation: Only visible for Exams-boost members. You can sign-up / login (it's free).
A corporation makes a rights offering to raise $10 million of new capital by issuing one million shares of
common stock. If it already has six million shares outstanding at the time of the offering. What is the
subscription price per share?
- A. $7
- B. $6
- C. $4
- D. $10
Correct Answer: D 🗳️
Explanation: Only visible for Exams-boost members. You can sign-up / login (it's free).
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