FINRA General Securities Representative Qualification Examination (GS) : Series-7

  • Exam Code: Series-7
  • Exam Name: General Securities Representative Qualification Examination (GS)
  • Updated: Aug 18, 2026
  • Q & A: 402 Questions and Answers

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About FINRA General Securities Representative Qualification Examination (GS) : Series-7 Exam

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How to book FINRA Series 7 Certification Exams

Applicants wishing to take the Series 7 exam must be sponsored by a FINRA member company and FINRA has other Series 7 eligibility requirements. The company must submit a U4 form (uniform registration application in the field of qualifications) to register the candidate for the license exam. FINRA regulates the activities of brokerage firms and registered brokers, ensuring that anyone who sells securities products is qualified and tested.

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How much FINRA Series 7 Certification Exam cost

The Series 7 exam is officially known as the general exam of securities representatives. It is a highly regulated exam that must be taken in an official test center. The cost to take the test is at least $ 265, with some areas in charge a little more.

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

Topics of FINRA Series 7 Certification Exam

Candidates must know the exam topics before they start of preparation. Because it will really help them in hitting the core. Our FINRA Series 7 exam dumps will include the following topics:

  • Packaged Securities
  • Taxation
  • Equity, and debt instruments
  • Interactions with clients
  • Retirement plans
  • Options
  • Investment risk

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FINRA Series-7 Exam Syllabus Topics:

SectionObjectives
Seeks Business for the Broker-Dealer- Prospecting clients and marketing products
- Understanding regulatory constraints on communications
Makes Recommendations and Transfers Assets- Suitability and recommendation rules
- Account transfers and asset movement procedures
Evaluates Customers' Financial Profile- Financial status and suitability assessment
- Customer investment objectives and risk tolerance
Provides Information About Investments- Taxation and risk characteristics
- Equities, fixed income, and packaged products
Processes Customer Orders- Order entry, execution, and settlement basics
- Trade reporting and confirmation procedures

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