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Updated: Jul 15, 2026
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FINRA Series7 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | General Securities Representative Examination (Series 7) |
| Exam Number: | Series 7 (GS) |
| Exam Duration: | 225 minutes |
| Certificate Validity Period: | No fixed expiration (maintained through FINRA registration and employer sponsorship) |
| Exam Format: | Multiple-choice |
| Available Languages: | English |
| Related Certifications: | Securities Industry Essentials (SIE) Series 63 (Uniform Securities Agent State Law Exam) Series 66 (Uniform Combined State Law Exam) |
| Exam Price: | $300 USD |
| Real Exam Qty: | 125 scored questions (plus 10 unscored pretest questions) |
| Passing Score: | Approximately 72% |
| Recommended Training: | Kaplan Financial Education - Series 7 Prep FINRA Official Exam Information STC USA - Series 7 Exam Prep |
| Exam Registration: | FINRA Registration and Exam Information Series 7 Exam Page (FINRA) |
| Sample Questions: | FINRA Series7 Sample Questions |
| Exam Way: | Computer-based exam at authorized testing centers or remote proctored delivery (if available through FINRA/Prometric) |
| Pre Condition: | No formal prerequisites for the Series 7 exam itself, but candidates must pass the Securities Industry Essentials (SIE) exam and be sponsored by a FINRA member firm. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series7 |
FINRA Series7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Job Functions Overview | - Function 4: Processes Orders and Maintains Appropriate Records
|
FINRA General Securities Representative Examination (GS) Sample Questions:
1. A four-letter symbol assigned to an issue is characteristic of an equity security that is:
A) authorized for inclusion in the NASDAQsystem
B) admitted to unlisted trading privileges on a regional stock exchange
C) trading in less than 100-share units on the American Stock Exchange
D) listed on the NYSE
2. The Bubba Fund is a load mutual fund that offers a reinvestment plan. What does this mean?
A) income, dividend, and capital gain distributions may be automatically used to purchase new shares of
the fund
B) purchasers of fund shares must agree to make regular investments over a period of years
C) no federal income taxes are paid on dividends and capital gain distributions from the fund
D) holders of fund shares are permitted to regularly purchase additional shares at the bid price
3. Bubba Corporation owes income tax. Which of the following may be tendered at par value for payment of
the tax?
A) tax anticipation bill
B) pre-issue bond
C) special tax bond
D) term bond
4. Bubba sells short 100 XYZ at $60 and makes the required Regulation T deposit of 50%. XYZ then rises I
price to $65. At this point what is the credit balance?
A) $2,500
B) $3,500
C) $9,000
D) $6,000
5. Bubba buys $100,000 of US Treasury 101/2 s of 31 on margin. If the current market price is 92.16, what is
Bubba's minimum deposit requirement?
A) $10,000
B) $25,000
C) $4,625
D) $5,550
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: D |
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