Exam Name: General Securities Representative Examination (GS)
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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FINRA Series7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Margin accounts and taxation - Municipal securities - Investment companies, ETFs, and variable annuities - Debt securities and government obligations - Equity securities - Recordkeeping and regulatory reporting - Options and derivative products - Direct participation programs |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Order types and execution procedures - Trade settlement and confirmation rules - Regulatory requirements for transaction processing |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Standards for advertising and public communications - Product-specific disclosures and regulatory requirements - Customer communication and solicitation rules |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account types and documentation requirements - Financial profile, risk tolerance, and investment objectives - Suitability rules and regulatory compliance |
FINRA General Securities Representative Examination (GS) Sample Questions:
Bubba buys a bond issued at par with a 5% coupon that is convertible into common stock at $40. What
conversion ratio does Bubba determine?
- A. 15
- B. 25
- C. 30
- D. 40
Correct Answer: B 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
Which of the following is not a marketable security?
- A. Series EE bonds
- B. tax anticipation bonds
- C. treasury bonds
- D. municipal bonds
Correct Answer: A 🗳️
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Regulation T is set at 50%. Bubba's account contains long positions in the following securities with the
prices listed
1 00 ABC $30
2 00 XYZ $70
2 00 QBB $40
2 00 KKK $25
Total market value = $30,000
Debit balance in the account = $12,000
Net equity balance of the account = $18,000
Bubba wants to buy 100 shares of DUM at $30 per share and 100 shares of OUT at $120. How much
additional money must be deposited?
- A. $6,000
- B. $1,500
- C. $4,500
- D. $7,000
Correct Answer: C 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
Bubba is long spot Canadian dollars at 0.7400. If he wants to buy one put option on Canadian dollars with
a strike price of 74 and a cost of $0.35, what is Bubba's breakeven price for Canadian dollars?
- A. 0.7365
- B. 0.4900
- C. .07435
- D. 0.7400
Correct Answer: C 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
The general purpose of the Securities Act of 1933 is to:
- A. regulate the sale of securities on national exchanges
- B. provide for disclosure of information about new securities offerings
- C. provide for disclosure of the financial condition of underwriters
- D. regulate the activities of investment advisers
Correct Answer: B 🗳️
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