As 2026 brings fresh changes to the FINRA General Securities Representative Examination (GS) content outline, the IT staff at Prep4SureReview checks for Series7 updates every single day and notifies customers as soon as new material is ready.
FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | General Securities Representative Examination (GS) |
| Exam Number: | Series 7 |
| Related Certifications: | Series 63 Series 66 Series 65 Series 6 Securities Industry Essentials (SIE) |
| Real Exam Qty: | 125 scored + 5–10 unscored pretest |
| Available Languages: | English |
| Exam Duration: | 225 minutes |
| Exam Price: | $395 USD |
| Certificate Validity Period: | Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm |
| Passing Score: | 72% |
| Exam Format: | Multiple-choice, Computer-based, 4 answer options per question |
| Recommended Training: | FINRA Content Outline PDF |
| Exam Registration: | FINRA Series 7 Registration Page FINRA Central Registration Depository (CRD) |
| Sample Questions: | ![]() |
| Exam Way: | Computer-based testing at authorized Pearson VUE or Prometric test centers |
| Pre Condition: | Must pass SIE exam; must be sponsored by a FINRA/SRO member firm |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series7 |
FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules |
| Topic 2: 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 |
| Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Recordkeeping and regulatory reporting - Equity securities - Options and derivative products - Investment companies, ETFs, and variable annuities - Direct participation programs - Margin accounts and taxation - Debt securities and government obligations - Municipal securities |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Regulatory requirements for transaction processing - Trade settlement and confirmation rules - Order types and execution procedures |
Your FINRA General Securities Representative Examination (GS) Questions, Answered
- Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions (11%)
- Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives (9%)
- Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records (73%)
FINRA General Securities Representative Examination (GS) Sample Questions:
The net investment income of an open-end investment company represents:
- A. dividends, interest, and net gains on sales of securities
- B. net income from dividends and interest paid on securities in the fund's portfolio
- C. net profits from the investment company operation
- D. net gains on sales of portfolio securities
Correct Answer: B 🗳️
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Bubba plans to borrow some money and pledge securities as collateral. Which of the following can he not
use as collateral?
- A. US treasury notes
- B. Series EE bonds
- C. US treasury bills
- D. US treasury bonds
Correct Answer: B 🗳️
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Which of the following pairs of terms are synonyms in connection with most mutual funds?
- A. selling price and bid price
- B. net asset value and redemption price
- C. bid price and management fee
- D. net asset value and offering price
Correct Answer: B 🗳️
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Bubba owns 100 shares of XYZ at $58. He needs to limit his loss to 5 points or less and will accept a
longer time for the order to be executed, to make sure the loss does not exceed 5 points. Which of the
following orders would be the best recommendation?
- A. sell limit order
- B. sell stop order
- C. buy stop order
- D. sell stop-limit order
Correct Answer: D 🗳️
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The agreement between the members of a syndicate and the manager is known as the:
- A. agreement among underwriters
- B. selling agreement
- C. standby agreement
- D. underwriting agreement
Correct Answer: A 🗳️
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