FINRA Series7 : General Securities Representative Examination (GS)

  • Exam Code: Series7
  • Exam Name: General Securities Representative Examination (GS)
  • Updated: Nov 07, 2026
  • Q & A: 400 Questions and Answers

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About FINRA Series7 Exam Questions

Not sure whether the Series7 practice questions match the real FINRA General Securities Representative Examination (GS) exam? Download the free PDF demo from BraindumpsPrep and judge the quality of the 400 questions and answers yourself before spending anything.

FINRA Series7 Exam Overview:

Certification Vendor:FINRA
Exam Name:General Securities Representative Examination (GS)
Exam Number:Series 7
Exam Price:$395 USD
Exam Format:Multiple-choice, Computer-based, 4 answer options per question
Related Certifications:Series 63
Series 65
Securities Industry Essentials (SIE)
Series 6
Series 66
Passing Score:72%
Exam Duration:225 minutes
Available Languages:English
Certificate Validity Period:Valid while registered and completing continuing education; expires 2 years after leaving a sponsoring firm
Real Exam Qty:125 scored + 5–10 unscored pretest
Recommended Training:FINRA Content Outline PDF
Exam Registration:FINRA Series 7 Registration Page
FINRA Central Registration Depository (CRD)
Sample Questions:Free Download real Series7 actual tests
Exam Way:Computer-based testing at authorized Pearson VUE or Prometric test centers
Pre Condition:Must pass SIE exam; must be sponsored by a FINRA/SRO member firm
Official Syllabus URL:https://www.finra.org/registration-exams-ce/qualification-exams/series7

FINRA Series7 Exam Syllabus Topics:

SectionWeightObjectives
Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions11%- Regulatory requirements for transaction processing
- Trade settlement and confirmation rules
- Order types and execution procedures
Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records73%- Debt securities and government obligations
- Margin accounts and taxation
- Direct participation programs
- Recordkeeping and regulatory reporting
- Investment companies, ETFs, and variable annuities
- Equity securities
- Options and derivative products
- Municipal securities
Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives9%- Account types and documentation requirements
- Suitability rules and regulatory compliance
- Financial profile, risk tolerance, and investment objectives
Seeks Business for the Broker-Dealer from Customers and Potential Customers7%- Standards for advertising and public communications
- Product-specific disclosures and regulatory requirements
- Customer communication and solicitation rules

FINRA General Securities Representative Examination (GS) (Series7) — Questions Candidates Actually Ask

The Series7 exam, officially known as FINRA General Securities Representative Examination (GS), is the FINRA test that leads to the General Securities Representative Qualification certification at the Entry / Representative Level level. Passing it validates the skills employers expect from a certified professional. It is also associated with related credentials such as Securities Industry Essentials (SIE), Series 6, Series 63, Series 65, Series 66.

The Series7 exam contains 125 scored + 5–10 unscored pretest questions, and you have 225 minutes to complete them. Work out your per-question pace before test day, and flag slow items instead of stalling on them — time pressure, not knowledge, sinks many first attempts. Timed mock exams in the BraindumpsPrep test engines are the most reliable way to build that rhythm.

The passing score for the Series7 exam is 72%, and the official registration fee is $395 USD. If you miss the mark, a retake means paying the full fee again, so book your seat only when you are ready. A practical benchmark: score consistently above the passing line on timed practice tests before scheduling the real exam.

Must pass SIE exam; must be sponsored by a FINRA/SRO member firm

Entry requirements can change, so confirm the latest conditions on the official exam page: https://www.finra.org/registration-exams-ce/qualification-exams/series7.

You can book the Series7 exam through the official registration channels below:

Exam delivery: Computer-based testing at authorized Pearson VUE or Prometric test centers. Seats at popular test centers fill quickly, so schedule early once your preparation is on track.

FINRA recommends the following training options for FINRA General Securities Representative Examination (GS) candidates:

Pair any course with the 400 practice questions from BraindumpsPrep to measure how ready you really are before paying the exam fee.

Yes. A free PDF demo of the FINRA General Securities Representative Examination (GS) questions is available, so you can check the question style and answer quality before you pay. Every purchase also includes 365 days of free updates, and if the product expires you can renew the update service at a 50% discount from your member zone.

If you take the corresponding Series7 exam within 60 days of purchase and do not pass, you can apply for a full refund under the 100% Money Back Guarantee: submit a scan of your enrollment slip and your official Score Report (PDF) within 2 days of the exam date, and the claim is processed within 7 days. Attempts made within 3 days of purchase, downloads without an actual exam attempt, free materials, and expired orders are not eligible, and the candidate name must match the payer name. Prefer new material instead of a refund? You can exchange your purchase for two free products of equal value and keep the update service on your original product. As for delivery, the files are available for instant download and are also emailed to you within one minute of payment — if nothing arrives within 2 hours, contact customer service. There is no limit on how many computers you can install the product on.

The official FINRA General Securities Representative Examination (GS) outline is organized into 4 domains. The first three are:

  • Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records — 73% of the exam
  • Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives — 9% of the exam
  • Seeks Business for the Broker-Dealer from Customers and Potential Customers — 7% of the exam

See the complete exam topics section above for the full outline and the weighting of every domain.

FINRA General Securities Representative Examination (GS) Sample Questions:

Question #1

In considering the fairness of a firm's markup, the FINRA considers:

  • A. financial condition of the client
  • B. amount of the transaction
  • C. dealer cost for the security
  • D. profitability of the member firm
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #2

Initial margin deposit minimum requirements are set by the:

  • A. FDIC
  • B. FINRA
  • C. NYSE
  • D. FRB
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #3

When an index option is exercised, settlement is made by:

  • A. delivery of the underlying securities
  • B. any of the above
  • C. cash
  • D. delivery of a futures contract
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #4

At the time it underlying stock is trading at 48, Bubba buys a listed call option with a $50 strike price for
$ 300. At what minimum price must that stock trade for Bubba to recover his investment (ignoring
commission and taxes)?

  • A. $51
  • B. $45
  • C. $48
  • D. $53
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #5

The return by the receiving party of securities previously accepted for delivery or a demand by the
delivering party for return of securities that have been delivered is called:

  • A. rejection
  • B. reclamation
  • C. re-delivery
  • D. close-out
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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