PDF Version DemoWhat is the duration, language, and format of FINRA Series 7 Certification Exam
- Language: FINRA Series 7 offered in English (U.S.), Chinese (Simplified), Czech, Dutch, French, German, Hebrew, Italian, Japanese, Korean, Polish, Portuguese (Brazil), Russian, Spanish, and Turkish.
- Number of Questions: 125
- Passing score: 72%
- Format: Multiple choices, multiple answers
- Length of Examination: 225 minutes
Fast learning of customers
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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
Simulation for the software version
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FINRA Series 7 Certified Professional Salary
The average Salary of a Series 7 Certified Professional Salary in
- India: 12,00,000 INR
- Europe: 35,864 Euro
- United States: 90,000+ USD
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FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Account documentation and regulatory compliance - Types of accounts and ownership structures - Customer information collection - Determining investment suitability |
| Topic 2: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Handling errors and discrepancies - Order types and execution procedures - Trade settlement and confirmation - Recordkeeping and reporting requirements |
| Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Direct participation programs - Characteristics of equity securities - Municipal securities - Portfolio analysis and risk management - Options and derivative products - Investment company securities and variable contracts - Debt securities and government obligations - Taxation and regulatory rules |
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Identification of potential customers - Regulatory requirements for communications with the public - Prospecting and sales practices |
