Series 7 Exam Details

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

Best Practices Guide

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.

Additional Information

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.