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. For more information about the activities requiring registration as a General Securities Representative , see FINRA Rule 1220(b)(2).
• Regulation D offerings (e.g., exemption from SEC registration, access to capital markets, accredited investors) • Securities and transactions exempted from registration, including Section 3(a)(11) of the Securities Act of 1933 and Rule 147 thereunder (i.e., intrastate offering) • Regulatory requirements for private placements or resales
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