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Applicants wishing to take the Series 7 exam must be sponsored by a FINRA member company and FINRA has other Series 7 eligibility requirements. The company must submit a U4 form (uniform registration application in the field of qualifications) to register the candidate for the license exam. FINRA regulates the activities of brokerage firms and registered brokers, ensuring that anyone who sells securities products is qualified and tested.
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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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| Section | Objectives |
|---|---|
| Topic 1: Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives | |
| Topic 2: Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | |
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | |
| Topic 4: Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions |
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