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When it comes to negotiating your salary with reputed tech firms, you could feel entirely helpless if you're a fresh graduate or don't have enough experience. You will have no trouble landing a well-paid job in a reputed company if you have FINRA Series-7 Certification on your resume. Success in the test is also a stepping stone to climbing the career ladder. If you are determined enough, you can get top positions in your firm with the FINRA Series-7 certification.

FINRA Series-7 Exam Syllabus Topics:

Topic Details
Topic 1
  • Restrictions on the Purchase and Sale of Initial Equity Public Offerings
  • Networking Arrangements Between Members and Financial Institutions
Topic 2
  • Summary Prospectuses for Open-End Management Investment Companies
  • Approval and Documentation of Changes in Account Name or Designation
Topic 3
  • Transactions withEmployees and Partners of Other Municipal Securities Professionals
  • Communications with the Public about Variable Life Insurance and Variable Annuities
Topic 4
  • Authorization Records for Negotiable Instruments Drawn from a Customer’s Accounts
  • Standards and required approvals of public communications

FINRA Series 7 Certification Path

  • Step 1: Fist the applicant must take and pass the SIE Exam
  • Step 2: After it Secure a Sponsorship
  • Step 3: and then Study for the Series 7 Exam
  • Step 4: At the end Pass the Series 7 Exam

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FINRA General Securities Representative Qualification Examination (GS) Sample Questions (Q193-Q198):

NEW QUESTION # 193
Bubba want to buy a CMO. In general, how often should he expect to receive interest payments?

  • A. at maturity
  • B. every week
  • C. every month
  • D. every year

Answer: C Explanation:
every month. Collateralized Mortgage Obligations generally pay interest each month. However, some CMOs pay interest quarterly or semiannually.
NEW QUESTION # 194
A new stock offering by Bubba Corporation provides details that state between 1,000,000 and 1,500,000 shares will be sold depending upon market conditions. This offering is a:

  • A. best efforts
  • B. mini-max
  • C. market potential
  • D. standby

Answer: B Explanation:
Explanation/Reference:
Explanation: mini-max. These offerings state the minimum and maximum number of shares offered.
NEW QUESTION # 195
Which of the following is not an intangible drilling cost?

  • A. supplies and fuel
  • B. repairs
  • C. salaries
  • D. machinery and pipe

Answer: D Explanation:
Explanation/Reference:
Explanation: machinery and pipe. These are tangible fixed assets and not associated with intangible drilling costs.
NEW QUESTION # 196
Bubba has a short margin account with a short market value of $22,000, a credit balance of $42,000, and SMA of $500.
What is the equity in Bubba's account?

  • A. $37,000
  • B. $500
  • C. $20,000
  • D. $20,500

Answer: C Explanation:
Explanation/Reference:
Explanation: $20,000. The equity in a short margin account is equal to the credit balance minus the short market value. SMA is not considered when computing equity.
NEW QUESTION # 197
Bubba Corporation has a profit sharing plan. The company president, Bubba, is receiving the maximum plan contribution amount. The corporation has one other employee, who is eligible for the plan.
If this person earns $12,000 per year, how much must be deposited in the plan for the employee?

  • A. $1,800
  • B. $6,000
  • C. $3,000
  • D. $12,000

Answer: C Explanation:
Explanation/Reference:
Explanation: $3,000. The maximum contribution is 25% of compensation. That percentage of $12,000 is
$3,000.
NEW QUESTION # 198
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