Exam Name: General Securities Representative Examination (GS)
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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Updated: Sep 19, 2026
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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% | - Direct participation programs - Debt securities and government obligations - Equity securities - Options and derivative products - Municipal securities - Margin accounts and taxation - Recordkeeping and regulatory reporting - Investment companies, ETFs, and variable annuities |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Customer communication and solicitation rules - Product-specific disclosures and regulatory requirements - Standards for advertising and public communications |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 11% | - Trade settlement and confirmation rules - Order types and execution procedures - Regulatory requirements for transaction processing |
| Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Suitability rules and regulatory compliance - Financial profile, risk tolerance, and investment objectives - Account types and documentation requirements |
FINRA General Securities Representative Examination (GS) Sample Questions:
An issuer is most likely to request an investment letter from the purchaser in connection with which of the
offerings?
- A. a private placement
- B. a mutual fund
- C. an exempt security
- D. a hot issue
Correct Answer: A 🗳️
Explanation: Only visible for PremiumVCEDump members. You can sign-up / login (it's free).
The FINRA markup policy requires that over-the-counter transactions with a customer be at:
- A. prices reasonably related to the dealer's cost
- B. a markup based on previous activity in the customer's account
- C. a markup not to exceed 5% of the current offering price
- D. prices reasonably related to the current market price of the security
Correct Answer: D 🗳️
Explanation: Only visible for PremiumVCEDump members. You can sign-up / login (it's free).
An excerpt from a recent tombstone ad reveals bonds offered publicly at 101. Why were they priced at a
premium?
- A. to enable investors to establish a tax loss when the bonds are redeemed at maturity
- B. to comply with SEC rules mandating such pricing for debt issues maturing in the year 2000 and
thereafter - C. to provide the issuer with a larger deduction from pre-tax earnings for higher than usual interest
payments - D. to reflect prevailing credit ratings and market conditions for the issuer
Correct Answer: D 🗳️
Explanation: Only visible for PremiumVCEDump members. You can sign-up / login (it's free).
Which of the following is true about a customer with a frozen account?
- A. must deposit the full purchase cost before an order is executed
- B. must deposit sufficient cash for each transaction no later than the settlement date
- C. may not trade corporate securities under any circumstances
- D. may make purchases but not sales of corporate securities
Correct Answer: A 🗳️
Explanation: Only visible for PremiumVCEDump members. You can sign-up / login (it's free).
Which of the following is not an investment company within the terms of the Investment Company Act of
1 940?
- A. a management company
- B. a unit investment trust company
- C. a face-amount certificate company
- D. a holding company dealing in mineral leaseholds
Correct Answer: D 🗳️
Explanation: Only visible for PremiumVCEDump members. You can sign-up / login (it's free).
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