Series 7

The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform his or her job as a general securities representative.

The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.

Please see NASD Rule 1032(a) General Securities Representative for more information.

Effective October 1, 2018, candidates must pass the Securities Industry Essentials (SIE) exam and a revised Series 7 to obtain the General Securities Representative registration. For more information about the SIE and Series 7 exams, refer to FINRA Rule FINRA Rule 1210 and FINRA Rule 1220(b)(2).

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