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Following are some reference material for actual FINRA Series-7 exam test
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The average Salary of a Series 7 Certified Professional Salary in
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
| Section | Objectives |
|---|---|
| Provides Information About Investments | - Equities, fixed income, and packaged products - Taxation and risk characteristics |
| Seeks Business for the Broker-Dealer | - Understanding regulatory constraints on communications - Prospecting clients and marketing products |
| Evaluates Customers' Financial Profile | - Financial status and suitability assessment - Customer investment objectives and risk tolerance |
| Makes Recommendations and Transfers Assets | - Account transfers and asset movement procedures - Suitability and recommendation rules |
| Processes Customer Orders | - Order entry, execution, and settlement basics - Trade reporting and confirmation procedures |
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