Pre-trying experience before purchasing
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High pass rate
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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.
FINRA Series 7 Certified Professional Salary
The average Salary of a Series 7 Certified Professional Salary in
- United States: 90,000+ USD
- India: 12,00,000 INR
- Europe: 35,864 Euro
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
FINRA Series-7 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | 11% | - Recordkeeping and reporting requirements - Trade settlement and confirmation - Handling errors and discrepancies - Order types and execution procedures |
| Topic 2: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 7% | - Prospecting and sales practices - Regulatory requirements for communications with the public - Identification of potential customers |
| Topic 3: Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 73% | - Debt securities and government obligations - Direct participation programs - Portfolio analysis and risk management - Characteristics of equity securities - Investment company securities and variable contracts - Options and derivative products - Municipal securities - Taxation and regulatory rules |
| Topic 4: Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 9% | - Determining investment suitability - Customer information collection - Account documentation and regulatory compliance - Types of accounts and ownership structures |
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