General Securities Representative Exam (Series 7)


check Need Help Studying for the Series 7 Certification Exam? Complete Practice Test Questions and Study Guide


The General Securities Representative Exam (Securities License) is administered by NASD (National Association of Securities Dealers). The test is also administered by a self-regulating financial body, the Financial Industry Regulatory Authority (FINRA).

The Series 7 exam has two parts, each with a 3 hour time limit. Series 7 consists of 260 questions in the multiple-choice format. The test questions cover topics on a broad range of investment areas such as bonds, stocks, options, investment company products and limited partnerships.  More info on the Series 7.

Only 250 of these questions count toward the final score and the remaining 10 questions are pretest questions.  The pass requirement for the Series 7 is a minimum score of 70%.



Exam License Requirements and Eligibility 

Candidates must be sponsored by a FINRA member firm.  For more information on eligibility requirements, please see NASD Rule 1031, which can be viewed in
the FINRA Manual



checkExam Content

The exam is divided into 12 categories, including:

  • Margin: Regulations and calculations (10 Questions)
  • Tax & Retirement plans (15 Questions)
  • Package Securities: Mutual funds, Variable Annuities, etc. (20 Questions)
  • New York Exchange: Procedures and orders (15 Questions)
  • Options (50 Questions)
  • Municipal Securities (50 questions)
  • Economic Analysis (15 Questions)
  • Government Securities (15 Questions)
  • Corporate Securities (15 Questions)
  • Client Accounts (15 Questions)
  • Regulation (15 Questions)
  • Direct Participation (15 Questions)


Test Help

Using Flash Cards 

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Complete Series 7 Certification Study Guide and Practice Test Questions

Complete study guide prepared by a dedicated team of expert researchers.

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Includes sample questions, how to make a study plan, test tips and complete review.

Series 7 Study Guide & Practice Test 

Available as Printable PDF Download and printed book




series7-flashcardsSeries 7 Flash cards and Practice Test

Looking for a fast effective way to study?   Flash cards are the answer!   Studies confirm that flash cards are one of the best ways to study.

400+ professional quality flash cards with every major concept you must know to pass this touch exam. Includes sample questions.

Series 7 Flashcards & Practice Test




Article Name
General Securities Representative Exam Series 7 Exam
Taking the Securities License Series 7? LIcense requirements, test prep, registration information, practice questions, study guide and flashcards