FINRA Series 7 General Securities Representative Exam Prep
Master the Series 7: Your Comprehensive Guide to Becoming a Licensed Securities Representative
This rigorous course provides a complete preparation for the FINRA Series 7 General Securities Representative Exam, covering all essential topics and regulatory requirements. Through structured modules, engaging lessons, and practical application, you will gain the knowledge and confidence needed to pass. Our program is designed for aspiring securities professionals committed to excelling in their career. This course is preparation and education only; it does not itself award a licence or credential, and requirements are set by the official exam body and, where applicable, your state. Every lesson includes tutor notes, an applied lab, worked exercises and a 12-question quiz you must pass at 80%, followed by a pooled final exam and free and paid practice tests.
Curriculum
One complete track with its own final exam and certificate.
Eight modules covering the full Series 7 exam content, from foundations to exam readiness.
This module introduces the regulatory framework governing the securities industry, including FINRA and SEC roles, and details the ethical and practical aspects of seeking and obtaining new client business. It covers communication with the public, lead generation, and initial client interactions.
- 1.1 FINRA, SEC, and Regulatory Authority Lab75 min
- 1.2 Broker-Dealer Registration and Supervision Lab75 min
- 1.3 Advertising and Communications with the Public Lab75 min
- 1.4 Client Solicitation and Prospecting Rules Lab75 min
- 1.5 Customer Complaints and Ethical Conduct Lab75 min
- 1.6 Anti-Money Laundering (AML) Regulations Lab75 min
Careers this prepares you for
- Registered Representative
- Stockbroker
- Financial Advisor