Exam Name: General Securities Representative Examination (GS)
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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Instant Download FINRA : Series7 Questions & Answers as PDF & Test Engine
Updated: Sep 10, 2026
No. of Questions: 400 Questions & Answers with Testing Engine
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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | 11% | - Customer accounts and documentation
|
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 9% | - Customer acquisition and prospecting
|
| Topic 3: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Investment products
|
| Topic 4: Obtains and Verifies Customers' Purchase and Sale Instructions and Agreements; Processes, Completes and Confirms Transactions | 7% | - Trade execution and settlement
|
FINRA General Securities Representative Examination (GS) Sample Questions:
The market theory stating that the small investor is usually wrong is called the:
- A. Dow theory
- B. advance-decline theory
- C. short interest theory
- D. odd-lot theory
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In the sale of open-end investment company shares, the amount at which the sales charge is reduced on
quantity transactions is referred to as the:
- A. margin
- B. spread
- C. breakpoint
- D. split
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A provision under which an underwriter can cancel a proposed public offering due to some unforeseen
occurrence is known as a:
- A. fill or kill provision
- B. market-out clause
- C. blue sky provision
- D. contra-market clause
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Municipalities are most likely to issue notes for which of the following purposes?
- A. long-term financing
- B. repairs to infrastructure
- C. short-term cash needs
- D. federal income tax payments
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Which of the following sets out the details for the management board of condominiums, including the
board's powers and limitations?
- A. bylaws
- B. master deed
- C. loan agreement
- D. rental agreement
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