The General Securities Representative (Series 7) Exam
Created in 1974, the Series 7 exam assesses the knowledge needed to perform functions of an entry level registered representative. It is often referred to as Series 7 top off since it “tops off” a candidate’s registration when paired with the SIE exam (i.e. they are co-requisites). The Series 7 exam is administered by the Financial Industry Regulatory Authority (FINRA), and required by FINRA and SEC.
Topics include: regulation, customer accounts, taxation, functioning of primary and secondary accounts, as well as product knowledge of options, bonds, equities, and packaged products.
