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The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
Nov 28, 2023 · The Series 7 exam, also called the General Securities Representative Exam, is a regulatory licensing exam administered by FINRA to assess the competency of entry-level finance professionals involved in the selling, trading or dealing of securities.
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and ...
Aug 15, 2024 · The Series 7 exam licenses the holder to sell all types of securities products except commodities and futures. Known formally as the General Securities Representative Qualification Examination,...
Mar 26, 2008 · Individuals who want to enter the securities industry to sell any type of securities must take the Series 7 examination—formally known as the General Securities Representative Examination. Individuals who pass the Series 7 are eligible to register with all self-regulatory organizations to trade.
Apr 9, 2019 · This article answers the most frequently asked questions about the Series 7 top-off exam and license, equipping you with the information you need to plan for this next step in your career.
Jul 28, 2024 · You need a good study plan to pass the difficult Series 7 exam. We reviewed the best Series 7 exam prep courses in six categories to help narrow your search.
1. Enroll for an Exam. 2. Schedule an Exam. 3. On the Day of Your Exam. After a candidate is enrolled to take an exam, FINRA will post a 120-day window in which the exam must be taken.
Apr 12, 2024 · Steps to Earn Series 7 License. Below are the four steps to earning your Series 7 License. Step 1: Take and Pass the SIE Exam. The SIE exam tests common topics such as fundamentals, regulatory agencies and their functions, product knowledge, and acceptable and unacceptable practices.
