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For more info visit:

FINRA Series 7 Exam Reference

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7

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FINRA Series-7 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions11%- Handling errors and discrepancies
- Recordkeeping and reporting requirements
- Trade settlement and confirmation
- Order types and execution procedures
Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers7%- Regulatory requirements for communications with the public
- Identification of potential customers
- Prospecting and sales practices
Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records73%- Investment company securities and variable contracts
- Municipal securities
- Direct participation programs
- Debt securities and government obligations
- Characteristics of equity securities
- Portfolio analysis and risk management
- Taxation and regulatory rules
- Options and derivative products
Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives9%- Account documentation and regulatory compliance
- Customer information collection
- Types of accounts and ownership structures
- Determining investment suitability

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