Series 7 Exam Training

Series 7 - General Securities Representative

The Series 7 Top-Off examination is required for individuals who wish to sell all types of securities under FINRA guidelines.  The test is administered through the PROCTOR computer system and can be conveniently scheduled. 

125 Questions | 3 hours and 45 minutes time limit
SIE exam co-requisite | $245 test fee | (Form U-4) | 72% to pass


Test Topics Approximate Test Questions
Seeks Business for the Broker-Dealer from Customers and Potential Customers 9
Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives 11
Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 91
Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes, and Confirms Transactions 14
***Total Questions***  ***125***

Study Material - General Securities Representative

Series 7 Top-Off On The Web - Web Training (SMART 7) + Books

Series 7 Top Off Exam - General Securities Representative

Series 7 Top Off Exam - General Securities Representative


SMART 7 Top-Off Interactive Web Training is a complete self-study training system delivered online. This web program parallels the material in the Series 7 Top-Off study books and, similarly, tailors your training to your strengths and weaknesses.

How Does the Program Work:

Unlike others, this program dynamically modifies your learning sequence, based on your strengths and weaknesses.  Consequently, if you're not having problems you'll move rapidly through the program.  However, when you are having difficulty with a topic you are presented with the concept in a variety of reinforcing methods.  Consequently, you will move more slowly through the material as the test topic is learned.  The repetition will make you master the topic!     Because of reinforcement, you will meet the minimum competency level needed to pass the test upon successful completion of SMART 7 Top-Off.

What's Covered in the Program:

The learning material covers 1800 concepts.  We allocate the concepts within the 12 major categories on the Series 7 exam.  In addition, each concept includes practice questions with detailed explanations. To help out, the explanations not only explain which answer is correct, but also explain why the other answers are wrong (for the more complex concepts).

Also include is a "Listen" button.  This "Listen" button  explains the information to you.  Specifically, it covers the material in a manner that enhances learning by giving context, background, and test application.  Consequently, each "Listen" segment is unique and is not a repeat of the printed textbook!

The web program also includes a Quick 7 Summary Booklet.  The booklet is an easy-to-read digest of the most important points tested!  Above all, this is a condensed review of all the key points you need to know for the exam.

Other key features are:  

  • Special quizzes test each of the 12 major areas on the exam.  For understanding, the quizzes are grouped into three modules:
    • Equities, Debt, and Investment Companies
    • Options, Customer Accounts, Retirement Plans, and New Issues
    • Regulations, Taxes and Tax Shelters, Suitability, and Analysis
    • Master level exams are drawn from a pool of over 7,600 questions
    • Finals cover topics from all 12 major areas
    • Get detailed feedback on subjects needing additional study
    • Mastery exams cover Equities, Debt, and Investment Companies

      In addition, there are full text search capabilities through the Glossary and the Quick 7

      Because the program is on-line, the content for SMART Interactive Web Training can be constantly updated.  Changes are added as they become available.

      Please Note: Under the terms of the PassPerfect End User Licensing Agreement, each product is licensed to a single user and can be used for up to 1 year or until they pass the exam, whichever comes first.

      The Series 7 Study Books:

      Note:  The study books are only available when you purchase them in combination with the On-Line Smart 7 Web Program

      You'll find this fully illustrated 3 volume text is written in a lively, informative fashion, and boredom is eliminated. Therefore, after each section (about every 10-20 pages), simulated test questions with detailed explanations give you feedback on your level of understanding.  Above all, by combining these written books with exams from our SMART program, there are no surprises when it is time to take the actual examination.

      Over 1000 pages, with over 3000 simulated questions!  Nice. 

      As explained above, the PassPerfect study books consist of material covering the same modules as in the web program:

      Module I 
      Equity Securities 
      Debt Securities 
      Investment Companies 
      Trading Markets
      Module II 
      Customer Accounts 
      Retirement Plans 
      New Issues
       Module III 
      Taxes and Tax Shelters