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Learn · Series 7

General Securities Representative (Series 7)

Understand how general-securities representative work is organized through FINRA’s official four-function outline.

Orientation

Start with the official map

Use the official function weights as a map, then follow the planned reading order and related live TickerGrove guides. Function 3 carries most of the scored items, so this first list gives it the most depth.

Candidates must pass both the SIE and Series 7 under FINRA Rule 1220(b)(2). Series 7 candidates also must be associated with and sponsored by a FINRA member firm or another applicable SRO member firm.

See the SIE learning hub →

Official FINRA weighting

125 scored items
Source: FINRA’s current 2025 content outline. Percentages total 100%.
SectionOfficial titleWeightScored items
F1Seeks Business for the Broker-Dealer from Customers and Potential Customers7%9
F2Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives9%11
F3Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records73%91
F4Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes and Confirms Transactions11%14
Total100%125

First lessons

Planned reading list

Plans only · not published lessons

  1. 01

    Planned · Intermediate · Series 7 F1.1

    Retail, institutional, and correspondence communications

    The communication classes and approval context named in Function 1, without turning them into marketing copy.

  2. 02

    Planned · Intermediate · Series 7 F1.2

    The new-issue process and prospectus

    An outline-mapped workflow for new issues, syndicates, offering documents, and exempt offerings.

    Related live guides
    What an IPO is
  3. 03

    Planned · Beginner · Series 7 F2.1

    Opening brokerage accounts

    Account structures and restrictions from Function 2, including the outline’s specialized account arrangements.

  4. 04

    Planned · Beginner · Series 7 F2.2–F2.3

    KYC and the customer investment profile

    The customer-identification and investment-profile information in the outline, presented without a suitability quiz.

  5. 05

    Planned · Intermediate · Series 7 F2.3 · Exchange Act Rule 15l-1

    Regulation Best Interest

    An introduction to the care, disclosure, conflict-of-interest, and compliance obligations identified by the outline.

  6. 06

    Planned · Intermediate · Series 7 F3.1

    Financial ratios for recommendations

    The ratios named in Function 3, paired with TickerGrove’s live statement-reading guides rather than rewriting them.

  7. 07

    Planned · Intermediate · Series 7 F3.2 · Packaged products

    Mutual-fund share classes and breakpoints

    Share classes, fees, breakpoints, letters of intent, rights of accumulation, NAV, and forward-pricing vocabulary.

  8. 08

    Planned · Intermediate · Series 7 F3.2 · Municipal securities

    Municipal bonds: GO vs. revenue

    The municipal security categories and analysis terms named in Function 3.

  9. 09

    Planned · Intermediate · Series 7 F3.2 · Listed options

    Listed-options strategies

    The listed-options strategy vocabulary in Function 3, designed for future payoff diagrams rather than exam items.

  10. 10

    Planned · Intermediate · Series 7 F4.2

    Trade settlement and good delivery

    The transaction-processing, reporting, settlement, and good-delivery workflow in Function 4.