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. The exam is administered through computer using the PROCTOR system.

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:

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

The web program parallels the material in the Series 7 Top-Off study books and tailors your training to your strengths and weaknesses.

The program dynamically modifies your learning sequence, based on your strengths and weaknesses. If you are having difficulty with a major concept, you are presented with the information to be learned in a variety of reinforcing methods until mastery is achieved. Therefore, users who are not having problems move rapidly through the program; those that are having difficulty will move more slowly, but they will meet the minimum competency level needed to pass the examination upon successful completion of SMART 7 Top-Off.

The learning material covers 1800 concepts, arranged within the 12 major areas tested on the Series 7 exam. Each concept includes practice questions with detailed explanations that not only explain which answer is correct, but also explain why the other answers are wrong for the more complex concepts

The SMART 7 Top-Off Program includes a “Listen” button that explains the information to the user, covering the material in a manner that enhances learning by giving context, background, and test application. Each “Listen” segment is unique and is not a repeat of our printed text. The “Listen” button explains the information to the user, covering the material in a manner that enhances learning by giving context, background, and test application

The web program also includes a Quick 7 Summary – an easy-to-read condensation of the most important points tested!

Other key features are:

  • Quizzes that test each of the 12 major areas
  • Mastery exams drawn from a pool of over 7,600 questions
    • Module I = Equities, Debt, and Investment Companies
    • Module II = Options, Customer Accounts, Retirement Plans, and New Issues Module
    • Module III = Regulations, Taxes and Tax Shelters, Suitability, and Analysis
  • Finals, covering material from all 12 major areas
  • Detailed feedback on areas needing additional study
  • Mastery exams, covering Equities, Debt, and Investment Companies

There are full text search capabilities through the Glossary and the Quick 7.

The content for SMART Interactive Web Training is constantly updated. Changes are added to the material as they become available.

The Series 7 Study Books:

This fully illustrated 3 volume text is written in a lively, informative fashion that eliminates boredom. After each section (about every 10-20 pages), simulated test questions with detailed explanations give you feedback on your level of understanding. Also included in this set is a Quick Study Guide. 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 examination questions with detailed explanations!

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: ,