FINRA Series7 : General Securities Representative Examination (GS)

Exam Code: Series7

Exam Name: General Securities Representative Examination (GS)

Updated: Oct 05, 2026

Q & A: 400 Questions and Answers

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FINRA Series7 Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions	11%	- Order types and execution procedures - Trade settlement and confirmation rules - Regulatory requirements for transaction processing
Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers	7%	- Standards for advertising and public communications - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements
Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records	73%	- Equity securities - Debt securities and government obligations - Recordkeeping and regulatory reporting - Investment companies, ETFs, and variable annuities - Margin accounts and taxation - Municipal securities - Direct participation programs - Options and derivative products
Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives	9%	- Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance - Account types and documentation requirements

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

A front-end loan mutual fund plan is most suitable for:

A. a contractualplan
B. a voluntary accumulation plan
C. an optional withdrawal plan
D. an automatic withdrawal plan

Reveal Solution Discussion 0

Correct Answer: A 🗳️