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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:
- Interactions with clients
- Equity, and debt instruments
- Packaged Securities
- Retirement plans
- Options
- Taxation
- Investment risk
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Seeks Business for the Broker-Dealer | - Prospecting clients and marketing products - Understanding regulatory constraints on communications |
| 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: Evaluates Customers' Financial Profile | - Customer investment objectives and risk tolerance - Financial status and suitability assessment |
| Topic 5: Makes Recommendations and Transfers Assets | - Account transfers and asset movement procedures - Suitability and recommendation rules |
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