Transcription of General Securities Representative Qualification ...
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General Securities Representative Qualification ...
2018 FINRA General Securities Representative Qualification Examination (Series 7) CONTENT OUTLINE Series 7 2 PURPOSE OF THE EXAM The Series 7 exam is designed to assess the competency of entry-level General Securities Representatives. The Series 7 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a General Securities Registered Representative . In order to obtain registration as a General Securities Representative , candidates must pass both the Series 7 exam and a General knowledge co-requisite, the Securities Industry Essentials (SIE) exam.
Knowledge of: • Process for bringing new issues to market (e.g., due diligence, registration statement, preliminary prospectus, final prospectus, underwriting agreement, selling group agreement, blue-sky laws and
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