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Series 7 Exam - Registered Representative Stockbroker


Series 7 exam! Series 7 picture


"I had been studying for the Series 7 for six months and had failed the exam twice before trying your product.  I was close but couldn't get over the hump.  I ordered Series 7 Online one week before my third attempt and took three exams per day.  I passed with a 78!  Your exams and easy to understand explanations made the difference.  I recommended your product to my firm.  Expect to get a lot more orders because the program is great."



About the Series 7 Exam


Registered Representative Stockbroker


This Series 7 exam is the NASD/NYSE exam required by most broker-dealers for their registered representatives.

The NASD Series 7 exam covers: Stocks, Debt Securities, Investment Banking, Securities Markets, Taxes, Securities Analysis, Self Regulatory Organizations (SRO’s), Mutual Funds and Investment Companies, Annuities, Margin, Options, Money Market Instruments, Direct Participation Programs and Municipal Securities.


No Prerequisite


The test is made up of 260 multiple-choice questions of which 10 are experimental. Each student will be given a total of 6 hours for the exam (3 hours for each half).  


Series 7 Breakdown # of Questions
Seeks Business for the Broker-Dealer through Customers and Potential Customers 68
Evaluates Customers' other Security Holdings, Financial Situation and Needs, Financial Status, Tax Status, and Investment Objectives 27
Opens Accounts, Transfers Assets, and Maintains Appropriate Account Records 27
Provides Customers with Information on Investments and Makes Suitable Recommendations 70
Obtains and Verifies Customer's Purchase and Sales Instructions, Enters Orders, and Follows Up 58
Total questions 250


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