Exam Name: General Securities Representative Qualification Examination (GS)
Certification Provider: FINRA
Corresponding Certification: General Securities Representative
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Seeks Business for the Broker-Dealer | - Understanding regulatory constraints on communications - Prospecting clients and marketing products |
| Processes Customer Orders | - Order entry, execution, and settlement basics - Trade reporting and confirmation procedures |
| Makes Recommendations and Transfers Assets | - Suitability and recommendation rules - Account transfers and asset movement procedures |
| Provides Information About Investments | - Equities, fixed income, and packaged products - Taxation and risk characteristics |
| Evaluates Customers' Financial Profile | - Financial status and suitability assessment - Customer investment objectives and risk tolerance |
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