The Series 7 Exam is required for individuals who are entering the securities industry. You must pass this exam to qualify for the solicitation, purchase, and/or sale of all securities products. The test is administered by the Financial Industry Regulatory Authority (FINRA). Our free Series 7 practice exam is great for exam prep. Try these Series 7 exam questions to make sure you’re prepared.
Series 7 Questions
Securities Act of 1933
Securities Exchange Act of 1934
Investment Company Act of 1940
Securities Exchange Commission Act of 1931
No requirement to report.
Strike Price of Long Call + Net Premium Paid.
Net Premium Paid + Commissions Paid.
Strike Price of Long Put - Net Premium Paid.
JKL October 25 call.
JKL October 30 call.
JKL October 35 call.
JKL October 40 call.
Bull Call Spread.
Bear Call Spread.
Bull Put Spread.
he purpose of the issue.
A copy of the underwriting agreement.
The price and quantity of the securities offered.
Copies of the issuer's articles of incorporation.
The highest weekly trading volume during the six weeks preceding the filing.
The average daily trading volume during the week after the filing.
The average daily trading volume during the week preceding the filing.
The average weekly trading volume during the four weeks preceding the filing.
There are 30 stocks in the index.
It's an index that tracks 30 industrial stocks.
It's a price-weighted index.
It's a closely watched benchmark of stock market activity.
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About the Series 7 Exam:
This exam consists of 250 multiple choice questions, and is given in two parts with 125 questions. You are given 3 hours to complete each part. The exam is very challenging, so make sure you do plenty of Series 7 exam prep, and be sure to work through our Series 7 practice exam along with plenty of additional practice questions.