Series 7 Online
Exam - Registered Representative Stockbroker
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About the Series
This Series 7 exam is the NASD/NYSE exam required by most broker-dealers for their
NASD Series 7 exam
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.
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).
Business for the Broker-Dealer through Customers and Potential Customers
Evaluates Customers' other Security Holdings, Financial Situation and Needs,
Financial Status, Tax Status, and Investment Objectives
Opens Accounts, Transfers Assets, and Maintains Appropriate Account Records
Provides Customers with Information on Investments and Makes Suitable
Obtains and Verifies Customer's Purchase and Sales Instructions, Enters
Orders, and Follows Up