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Topics of FINRA Series 7 Certification Exam

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• Investment risk
• Taxation
• Packaged Securities
• Interactions with clients
• Equity, and debt instruments
• Options
• Retirement plans

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How to book FINRA Series 7 Certification Exams

Applicants wishing to take the Series 7 exam must be sponsored by a FINRA member company and FINRA has other Series 7 eligibility requirements. The company must submit a U4 form (uniform registration application in the field of qualifications) to register the candidate for the license exam. FINRA regulates the activities of brokerage firms and registered brokers, ensuring that anyone who sells securities products is qualified and tested.

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7

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FINRA Series-7 (General Securities Representative Qualification Examination) Certification Exam is a vital certification for professionals who wish to work in the securities industry. General Securities Representative Qualification Examination (GS) certification is administered by the Financial Industry Regulatory Authority (FINRA), a non-governmental organization that regulates brokerage firms and exchange markets in the United States.

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