By A. I. and FINRA
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The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities representative, including sales of corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options and government securities.
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Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 7 exam to obtain the General Securities Representative registration.
For more information about the SIE and Series 7 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(2).
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Filed under: "Ask-an-Advisor", CMP Program, finance, Glossary Terms, Investing, Portfolio Management | Tagged: CMP, FINRA, General Securities Representaive Qualification Exam, GS, SEC, Securities Industry Essentials, Series 7, Series 7 exam, sie | Leave a comment »














