PDF Version DemoHow to study the FINRA Series 7 Certification Exam
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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Topics of FINRA Series 7 Certification Exam
Candidates must know the exam topics before they start of preparation. Because it will really help them in hitting the core. Our FINRA Series 7 exam dumps will include the following topics:
- Options
- Retirement plans
- Equity, and debt instruments
- Packaged Securities
- Interactions with clients
- Taxation
- Investment risk
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FINRA Series 7 Certification Path
- Step 1: Fist the applicant must take and pass the SIE Exam
- Step 2: After it Secure a Sponsorship
- Step 3: and then Study for the Series 7 Exam
- Step 4: At the end Pass the Series 7 Exam
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Makes Recommendations and Transfers Assets | - Suitability and recommendation rules - Account transfers and asset movement procedures |
| Topic 2: Provides Information About Investments | - Taxation and risk characteristics - Equities, fixed income, and packaged products |
| Topic 3: Processes Customer Orders | - Trade reporting and confirmation procedures - Order entry, execution, and settlement basics |
| Topic 4: Seeks Business for the Broker-Dealer | - Understanding regulatory constraints on communications - Prospecting clients and marketing products |
| Topic 5: Evaluates Customers' Financial Profile | - Financial status and suitability assessment - Customer investment objectives and risk tolerance |
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