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Time Limit
Multiple-choice questions
Passing score required to pass
Seeks business for the broker-dealer from customers and potential customers
Opens accounts after obtaining and evaluating customers’ financial profile and investment objectives
Provides customers with information about investments, makes suitable recommendations, transfers assets, and maintains appropriate records
Obtains and verifies customers’ purchase and sales instructions; processes, completes, and confirms transactions
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
For more exam details, including fees and passing score, please visit FINRA.
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
About the Exam
The FINRA® Series 7 (Revised) Exam
What Changed
Exam Restructuring
Next Steps
Get Started
We’ve outlined the steps you need to take to earn the Series 7 license. Follow the guidance to understand requirements, registration, and preparation.
Multiple-choice questions
Passing score required to pass
Time Limit
State Securities Acts and related rules and regulations
Ethical practices and fiduciary obligations
For more exam details, including fees and passing score, please visit FINRA.
About the Exam
The NASAA Series 63 Exam
What Changed
Exam Update
Next Steps
Get Started
We’ve outlined the steps you need to take to earn the Series 63 license. Follow the guidance to understand requirements, registration, and preparation.
