Kaplan University School of Professional and Continuing Education Kaplan University School of Professional and Continuing Education

Series 7 Top-off Exam Details

General Information

The FINRA® Series revised 7, General Securities Representative Qualification "Top-off" Exam, is required of individuals soliciting the purchase or sale of corporate, municipal and U.S. government securities, options, direct participation programs, investment company products, and variable contracts.

Corequisites: SIE Exam

Exam Format: 125 multiple-choice questions

Exam Duration: 3 hours, 45 minutes

Outline of Topics Covered:

  • 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 Guideline 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.

Attention Colorado Students:

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

Attention Tennessee Students: 

Kaplan Financial Education is authorized for operation as a postsecondary educational institution by the Tennessee Higher Education Commission. In order to view detailed job placement and graduation information on the programs offered by Kaplan Financial Education, please visit www.state.tn.us/thec and click on the Authorized Institutions Data button.