Series 7 Exam Prep

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)

Series 7 Top Off Exam - General Securities Representative

$ 150.00

SMART 7 Top-Off Interactive Web Training is a complete self-study training system delivered online.

How Does the Program Work:

Unlike others, this program dynamically modifies your learning sequence, based on your strengths and weaknesses. 

What's Covered in the Interactive Web 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).

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. 
    • 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.