FINRA Series7 Questions & Answers - in .pdf
- Total Q&A: 400
- Update: Aug 29, 2026
- Price: $49.99
- Vendor: FINRA
- Exam Code: Series7
- Exam Name: General Securities Representative Examination (GS)
- Features:
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- Printable FINRA Series7 PDF Format.
- 100% Money Back Guarantee.
- Complete FINRA Recommended Syllabus.
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- Exact FINRA Series7 Exam Questions with Correct Answers, verified by Experts with years of Experience in IT Field.
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FINRA Series7 Q&A - Testing Engine
- Total Q&A: 400
- Update: Aug 29, 2026
- Price: $49.99
- Vendor: FINRA
- Exam Code: Series7
- Exam Name: General Securities Representative Examination (GS)
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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements
- Suitability rules and regulatory compliance
- Financial profile, risk tolerance, and investment objectives
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements
- Standards for advertising and public communications
- Customer communication and solicitation rules
|
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs
- Municipal securities
- Debt securities and government obligations
- Options and derivative products
- Equity securities
- Recordkeeping and regulatory reporting
- Margin accounts and taxation
- Investment companies, ETFs, and variable annuities
|
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures
- Regulatory requirements for transaction processing
- Trade settlement and confirmation rules
|
FINRA General Securities Representative Examination (GS) Sample Questions:
Question 1
Bubba buys a bond issued at par with a 5% coupon that is convertible into common stock at $40. The
bond increases in value by 20 points. What is the conversion parity of the stock?
A. $25
B. $48
C. $50
D. $40
Question 2
Bubba owns 200 shares of XYZ at $90, and wishes to hedge the position while generating income. What
is the best recommendation?
A. sell puts
B. sell calls
C. buy calls
D. buy puts
Question 3
Which of the following is not good delivery on a sale of 470 shares?
A. 8 50-share certificates, one 40-share certificate, and one 30-share certificate
B. 2 100-share certificates and 3 90-share certificates
C. 47 10-share certificates
D. 4 100-share certificates and one 70-share certificate
Question 4
Assuming that the information contained in a registration statement is complete and accurate, the
registration statement becomes effective:
A. 30 days after receipt by the SEC
B. 10 days after receipt by the SEC
C. 20 days after receipt by the SEC
D. only after the SEC specifically clears the issue in writing to the principal underwriter
Question 5
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
subscription ratio is the corporation establishing for each new share?
A. 6 million rights per share
B. 10 rights per share
C. 6 rights per share
D. 10 million rights per share
Solutions:
Question 1
Answer: B | Question 2
Answer: B | Question 3
Answer: B | Question 4
Answer: D | Question 5
Answer: C |
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