Series 7 Top Off Exam – General Securities Representative


Product Description

Series 7 Top Off Exam – General Securities Representative

Series 7 Top Off

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

125 Questions | 3.5 hour time limit
SIE exam co-requisite | $245 test fee | (Form U-4) | 72% to pass


Test Topics & Approximate Test Questions

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***

SMART 7 Top-Off Interactive Web Training and Study Books Study Program

The Interactive Series 7 Training:

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).

Furthermore, the SMART 7 Top-Off Program includes 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:

  I  Equities, Debt, and Investment Companies

 II  Options, Customer Accounts, Retirement Plans, and New Issues

III  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.

The Series 7 Study Books:

You’ll find this fully illustrated 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


NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.

Additional information

Weight 6 lbs
SKU: Series 7 Top Off Exam - General Securities Representative Categories: ,