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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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

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