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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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| Section | Objectives |
|---|---|
| Topic 1: Evaluates Customers' Financial Profile | - Customer investment objectives and risk tolerance - Financial status and suitability assessment |
| Topic 2: Provides Information About Investments | - Equities, fixed income, and packaged products - Taxation and risk characteristics |
| Topic 3: Seeks Business for the Broker-Dealer | - Prospecting clients and marketing products - Understanding regulatory constraints on communications |
| Topic 4: Makes Recommendations and Transfers Assets | - Account transfers and asset movement procedures - Suitability and recommendation rules |
| Topic 5: Processes Customer Orders | - Trade reporting and confirmation procedures - Order entry, execution, and settlement basics |
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