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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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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 | - Trade reporting and confirmation procedures - Order entry, execution, and settlement basics |
| Provides Information About Investments | - Taxation and risk characteristics - Equities, fixed income, and packaged products |
| Evaluates Customers' Financial Profile | - Customer investment objectives and risk tolerance - Financial status and suitability assessment |
| Makes Recommendations and Transfers Assets | - Suitability and recommendation rules - Account transfers and asset movement procedures |
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