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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.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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| Section | Objectives |
|---|---|
| Topic 1: Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | |
| Topic 2: Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions |
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