Series 7 - General Securities Representative Exam

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The Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four major job functions of a general securities representative.

Overall Questions: 625
Exam Questions: 125
Passing Grade: 72%
Overall Rating: 4.7 (3)
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Training Mode

Intended for focusing on one particular area of the exam. Review each question in detail and study a thorough explanation of the answer. There is no timer and you can freely move from section to section.

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Exam Mode

Use this to simulate the real exam format and setting. It removes the ability to pause, get hints, or view answers. The more you practice in this mode, the more prepared you'll be for the real thing.

The table below lists the allocation of exam questions for each main job function.
  • #
  • Unit 1
  • Unit 2
  • Unit 3
  • Unit 4
  • Total
Job Functions
Job Functions
Unit 1
Seeks Business for the Broker - Dealer from Customers and Potential Customers
Unit 2
Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
Unit 3
Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
Unit 4
Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions
Percentage of Exam Questions
Percentage of Exam Questions
Unit 1
7%
Unit 2
9%
Unit 3
73%
Unit 4
11%
100%
Total Percentage of Exam Questions
Number of Questions
Number of Questions
Unit 1
9
Unit 2
11
Unit 3
91
Unit 4
14
125
Total Number of Questions