The Series 7 Exam is required by FINRA for representatives who will engage in sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.
SERIES 7 EXAM – AT A GLANCE
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Number of Test Questions for Each Major Job Function of Registered Representatives:
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The FINRA Series 7 exam does not have a prerequisite, but serves as a prerequisite for other exams, and tests the competency of individuals looking to become a General Securities Representative—an entry-level measurement of broker-dealer knowledge.
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