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FINRA Series 7 Certification Path
- Step 1: Fist the applicant must take and pass the SIE Exam
- Step 2: After it Secure a Sponsorship
- Step 3: and then Study for the Series 7 Exam
- Step 4: At the end Pass the Series 7 Exam
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How to study the FINRA Series 7 Certification Exam
There are two main types of resources for preparation of certification exams first there are the study guides and books that are detailed and suitable for building knowledge from ground up then there are video tutorials and lectures that can somehow ease the pain of through study and are comparatively less boring for some candidates yet these demand time and concentration from the learner. Smart Candidates who want to build a solid foundation in all exam topics and related technologies usually combine video lectures with study guides to reap the benefits of both but there is one crucial preparation tool as often overlooked by most candidates the practice exams. Practice exams are built to make students comfortable with the real exam environment. Statistics have shown that most students fail not due to that preparation but due to exam anxiety the fear of the unknown. TestkingPDF expert team recommends you to prepare some notes on these topics along with it don't forget to practice FINRA Series 7 exam dumps which had been written by our expert team, Both these will help you a lot to clear this exam with good marks.
Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
How much FINRA Series 7 Certification Exam cost
The Series 7 exam is officially known as the general exam of securities representatives. It is a highly regulated exam that must be taken in an official test center. The cost to take the test is at least $ 265, with some areas in charge a little more.
FINRA Series-7 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Processes Customer Orders | - Trade reporting and confirmation procedures - Order entry, execution, and settlement basics |
| Topic 2: Provides Information About Investments | - Taxation and risk characteristics - Equities, fixed income, and packaged products |
| Topic 3: Evaluates Customers' Financial Profile | - Customer investment objectives and risk tolerance - Financial status and suitability assessment |
| Topic 4: Seeks Business for the Broker-Dealer | - Prospecting clients and marketing products - Understanding regulatory constraints on communications |
| Topic 5: Makes Recommendations and Transfers Assets | - Account transfers and asset movement procedures - Suitability and recommendation rules |

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