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

Series-7 real exams

Exam Code: Series-7

Exam Name: General Securities Representative Qualification Examination (GS)

Updated: Apr 21, 2024

Q & A: 402 Questions and Answers

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FINRA Series-7 Exam Syllabus Topics:

TopicDetails
Topic 1
  • Authorization Records for Negotiable Instruments Drawn from a Customer’s Accounts
  • Standards and required approvals of public communications
Topic 2
  • Restrictions on the Purchase and Sale of Initial Equity Public Offerings
  • Networking Arrangements Between Members and Financial Institutions
Topic 3
  • Transactions withEmployees and Partners of Other Municipal Securities Professionals
  • Communications with the Public about Variable Life Insurance and Variable Annuities
Topic 4
  • Prospectus in a Registration Statement at the Time of Effectiveness
  • Limitations on Benefits and Contributions Under Qualified Plans
Topic 5
  • Communications with the Public about Collateralized Mortgage Obligations (CMOs)
  • Options-related communications; options disclosure document (ODD)
Topic 6
  • Summary Prospectuses for Open-End Management Investment Companies
  • Approval and Documentation of Changes in Account Name or Designation

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

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