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FINRA General Securities Representative Examination (GS) : Series7 valid dump torrent
- Exam Code: Series7
- Exam Name: General Securities Representative Examination (GS)
- Updated: Sep 11, 2026
- Q&As: 400 Questions and Answers
About FINRA General Securities Representative Examination (GS) : Series7 Real Exam
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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Options and derivative products - Municipal securities - Direct participation programs - Equity securities - Debt securities and government obligations - Investment companies, ETFs, and variable annuities - Margin accounts and taxation - Recordkeeping and regulatory reporting |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules - Standards for advertising and public communications |
| 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 |
| 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 |
FINRA General Securities Representative Examination (GS) Sample Questions:
Question #1
How many days after the settlement date must a broker/dealer "buy in" a customer who has failed to
deliver securities?
- A. 15 days
- B. 30 days
- C. 10 days
- D. 45 days
Answer: C
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Question #2
Which of the following have a stated interest rate on the face of the certificates?
- A. both B and C
- B. treasury bills
- C. treasury notes
- D. treasury bonds
Answer: A
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Question #3
Which of the following is not true about US treasury bills?
- A. they are issued in denominations of $1,000 to $1,000,000
- B. they are general obligations of the US government
- C. they are issued at a discount
- D. they are money market instruments
Answer: A
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Question #4
Which of the following pairs of corporation characteristics are easiest for a partnership to avoid?
- A. business objective and centralized management
- B. continuity of life of the business and limited liability
- C. continuity of life of the business and transferability of assets
- D. two or more associates and free transferability of assets
Answer: C
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Question #5
Bubba Corporation has a profit sharing plan. The company president, Bubba, is receiving the maximum
plan contribution amount. The corporation has one other employee, who is eligible for the plan. If this
person earns $12,000 per year, how much must be deposited in the plan for the employee?
- A. $6,000
- B. $12,000
- C. $3,000
- D. $1,800
Answer: C
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