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Reference: https://www.finra.org/registration-exams-ce/qualification-exams/series7
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| Section | Objectives |
|---|---|
| Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions | |
| Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | |
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | |
| Opens Accounts after Obtaining and Evaluating Customers' Financial Profile and Investment Objectives |
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