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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).

415 – Limitations on Benefits and Contributions Under Qualified Plans 529 – Qualified Tuition Programs 530 – Coverdell Education Savings Accounts Employee Retirement Income Security Act of 1974 (ERISA) 2.2 Obtains and updates customer …

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