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Introduction to FINRA Series 7 Certification Exam

The Series 7 exam, the General Qualification Representatives Exam (GS) exam, assesses the competence of a registered representative at entry-level to exercise its function as the general representative of qualifications.

The exam measures the extent to which each candidate has the knowledge necessary to perform the essential functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government bonds.

Applicants must successfully complete the Securities Industry Essentials (SIE) and Series 7 exams to obtain registration from the Financial Representative General.

Passing the Series-7 exam is a crucial step for individuals who want to pursue a career in the securities industry. It demonstrates that individuals have a comprehensive understanding of the securities industry and are qualified to sell securities products to the public. Many financial firms require their employees to pass the Series-7 exam as a condition of employment. Additionally, passing the Series-7 exam is often a prerequisite for other securities licenses such as the Series-63 or Series-65 exams.

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Passing the Series-7 certification exam is a requirement for anyone planning to work as a general securities representative in the United States. General Securities Representative Qualification Examination (GS) certification is also a prerequisite for most other securities licenses and registrations. Candidates who pass the exam will be authorized to sell a wide range of securities products to clients, including stocks, bonds, mutual funds, options, and more.

FINRA Series-7 exam is an essential exam for anyone looking to become a registered securities representative in the United States. Series-7 exam tests the candidate's knowledge of securities-related topics and is administered by the Financial Industry Regulatory Authority (FINRA). Candidates must meet certain eligibility requirements and pass the exam to become registered representatives.

Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7