FINRA General Securities Representative Examination (GS) : Series7

Exam Code: Series7
Exam Name: General Securities Representative Examination (GS)
Updated: Sep 23, 2026
Q & A: 400 Questions and Answers

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About FINRA Series7 Exam

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FINRA Series7 Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions	7%	- Trade execution and settlement 1. Settlement and confirmations 2. Trade processing 3. Order handling 4. Books and records requirements
Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers	9%	- Customer acquisition and prospecting 1. Business development activities 2. Communications with the public
Topic 3: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records	73%	- Investment products 1. Debt securities 2. Options 3. Municipal securities 4. Government securities 5. Investment companies and variable products 6. Direct participation programs 7. Equity securities - Customer recommendations and transactions 1. Portfolio and risk considerations 2. Suitability and best interest obligations 3. Asset transfers and record maintenance
Topic 4: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives	11%	- Customer accounts and documentation 1. Account types and registrations 2. Suitability and customer profile 3. Customer identification requirements

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

The Bubba Fund is a load mutual fund that offers a reinvestment plan. What does this mean?

A. purchasers of fund shares must agree to make regular investments over a period of years
B. no federal income taxes are paid on dividends and capital gain distributions from the fund
C. holders of fund shares are permitted to regularly purchase additional shares at the bid price
D. income, dividend, and capital gain distributions may be automatically used to purchase new shares of
the fund

Reveal Solution Discussion 0

Correct Answer: D 🗳️