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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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How much FINRA Series 7 Certification Exam cost
The Series 7 exam is officially known as the general exam of securities representatives. It is a highly regulated exam that must be taken in an official test center. The cost to take the test is at least $ 265, with some areas in charge a little more.
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FINRA Series 7 Certification Path
- Step 1: Fist the applicant must take and pass the SIE Exam
- Step 2: After it Secure a Sponsorship
- Step 3: and then Study for the Series 7 Exam
- Step 4: At the end Pass the Series 7 Exam
Quality and Value for the Exam
IT-Tests.com Practice Exams for General Securities Representative Series-7 are written to the highest standards of technical accuracy, using only certified subject matter experts and published authors for development.
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Evaluates Customers' Financial Profile | - Customer investment objectives and risk tolerance - Financial status and suitability assessment |
| Processes Customer Orders | - Order entry, execution, and settlement basics - Trade reporting and confirmation procedures |
| Makes Recommendations and Transfers Assets | - Account transfers and asset movement procedures - Suitability and recommendation rules |
| Provides Information About Investments | - Equities, fixed income, and packaged products - Taxation and risk characteristics |
| Seeks Business for the Broker-Dealer | - Prospecting clients and marketing products - Understanding regulatory constraints on communications |
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