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REGISTERED REPRESENTATIVE

The Series 7 exam is a six hour test containing 250 four-option multiple choice questions. The Series 7 exam measures competence at the entry level, so questions are not so difficult so as to be answered by only the most able candidates. Successful completion of this examination qualifies a candidate to conduct a member's business in stocks, bonds, mutual funds, and limited partnerships. The Series 7 exam determines whether a candidate has attained the level of competency required to function as a Registered Representative.

Topics
Number of Questions
1.
Seeks business for the broker-dealer through customers and potential customers.
9
2.
Evaluates customers in terms of financial needs, current holdings, and available investment capital, and helps them identify their investment objectives.
4
3.
Provides customers and prospective customers with information on investments and makes suitable recommendations.
123
4.
Open, transfers, and closes customer accounts and maintains appropriate account records.
27
5.
Explains the organization, participants, and functions of various securities markets and the principal factors that affect them.
53
6.
Obtains and verifies the customer's purchase and sale instructions, enters orders, and follows up on completion of transactions.
13
7.

Monitors the customer's portfolio and makes recommendations consistent with changes in economic and financial conditions as well as the customer's needs and objectives.

21

 

 

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