Series 7 Exam

Prepare for success with STC's Series 7 Exam Prep. Learn about the Series 7 exam, explore FAQs, and shop training to kickstart your financial career today.

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Free Guide to Pass Your Series 7 Exam

Covers exam structure, study strategies, the full Series 7 Exam preparation process, registration, and key resources to help you succeed.
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Understanding the Series 7 Exam

What is the Series 7 exam, and am I eligible to take it? 

The Series 7 exam, also known as the General Securities Representative Exam, qualifies individuals to sell a broad range of securities. To take the exam, candidates must be sponsored by a FINRA-member firm or self-regulatory organization (SRO).

What topics are covered on the Series 7 exam?

The exam covers investment risk, taxation, equity and debt securities, options, retirement plans, and client interactions, among other topics. It focuses heavily on the responsibilities of a General Securities Representative.

How difficult is the Series 7 exam and how can I prepare?

The exam is considered challenging, with a 125-question format requiring a score of 72% or higher to pass. Effective preparation involves comprehensive study materials, practice exams, and a focused study schedule.

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Additional Resources

The Series 7 Exam and Why You Should Take It

Explore how the Series 7 Exam can kickstart your financial career. Learn how STC's program can prepare you for success.

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5 Test-Taking Tips for FINRA Exam Preparation

Unlock success in your FINRA exam prep with these five expert test strategies and learn how to leverage top training materials from STC.

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Differences Between the FINRA Series 6 Exam and Series 7 Exam

Discover the differences between the Series 6 and Series 7 exams to determine which path is right for you.

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Series 7 Exam Details

What is the exam format?

  • Total Questions: 125 graded multiple-choice + 10 ungraded experimental questions
  • Exam Duration: 3 hours and 45 minutes
  • Passing Score: 72%
  • Prerequisite/Corequisite: SIE Exam
  • Recommended Study Time: 75–100 hours

What is the Series 7 Exam?

The Series 7 exam, established in 1974, evaluates the knowledge required to perform the duties of an entry-level registered representative. Often referred to as the "Series 7 Top-Off," it complements the SIE exam, as the two are co-requisites. The test covers ten major areas of the investment markets and over 50 subtopics.

The exam is administered by the Financial Industry Regulatory Authority (FINRA) and is mandated by both FINRA and the SEC.

Visit FINRA for more information.

Who can take the exam?

The Series 7 exam is available to individuals sponsored by a FINRA-member firm or self-regulatory organization (SRO). Candidates must also pass the Securities Industry Essentials (SIE) exam as a prerequisite or co-requisite.

What topics are covered on the exam?

  • Regulation: Rules and compliance standards
  • Customer Accounts: Types and management
  • Taxation: Tax implications and considerations
  • Primary and Secondary Markets: How these markets function
  • Product Knowledge: Options, bonds, equities, packaged products, and more

What is the retake policy?

If you don’t pass the Series 7 exam:

  • After the 1st or 2nd attempt: A mandatory 30-day waiting period applies before retaking.
  • After the 3rd (or more) attempts: The waiting period increases to 6 months.

The $245 exam fee must be paid for each attempt.

What's next after the exam?

After successfully passing the Series 7 exam, you’ll be licensed to sell a wide range of securities, including:

  • Stocks and bonds
  • Mutual funds
  • Municipal securities
  • Rights and warrants
  • Money market funds
  • Exchange-traded funds (ETFs)
  • Hedge funds
  • Real estate investment trusts (REITs)

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