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Exam Prep – Series 7 Exam

This exam is administered by the Financial Industry Regulatory Authority (FINRA) (previously the National Association of Securities Dealers (NASD) and provides an individual with the qualifications necessary in order to make different types of trades with all types of corporate securities, excluding commodities and futures. It is also one of the steps necessary in order for a member firm associate to register with FINRA. The Series 7 exam must be passed in order to take many other principal exams offered by FINRA.

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Series 7 Exam Information

Time Limit: 6 hours. Note that the exam is broken into two parts and each part has a time limit of 3 hours. Number of Questions: 260 questions in total. 125 for each part and 10 pre-test questions that do not count towards the exam grade and are not indicated in the exam.

Passing Score: 70%

Format: Multiple Choice

Exam Enrollment Fee: $250 US as of July 2007. Note that this includes a $90 NYSE development fee. Please visit the FINRA Registration/Exam Fee Schedule for more information.

Prerequisites: You must be sponsored by a financial company who is a member of FINRA, or a Self-Regulatory Organization (SRO).

Exam Date(s): Any weekday

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