Series 7

Series 7
General Securities Representative Exam

The Series 7 Exam (Series 7 Top-Off Exam) is the FINRA (Financial Industry Regulatory Authority) exam required by most broker-dealers for their registered representatives.   

Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 63 or Series 66 Exam.

The Series 7 course covers: 

Stocks, Debt Securities, Investment Banking, Securities Markets, Taxes, Securities Analysis, Self Regulatory Organizations (SROs), Mutual Funds and Investment Companies, Annuities, Margin, Options, Money Market Instruments, Direct Participation Programs and Municipal Securities.

The Series 7 license exam has a total of 135 questions. However, only 125 of the questions count toward the Series 7 grade. So, the other 10 questions are experimental and could appear in any position within the actual test. To pass, each candidate must correctly answer at least 90 (72%) of the 125 questions. Each person has a total of 3 hours and 45 minutes to complete the actual FINRA license exam. This is simulated with our Series 7 Online Testing Program.

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Series 7 Course Textbook and Final Exam Book (2023)

Series 7 two-book set. Course textbook with chapter exams plus final exam book with 14 practice exams.



Series 7 Course Textbook (2023)

Series 7 Course Textbook with chapter exams.


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Series 7 Final Exam Book (2023)

Series 7 Final Exam Book with 11 practice final exams, one Exterminator exam, a Mostly Math exam, and a More Options exam.


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About the books:

The Series Seven Top-Off Course Textbook and Final Exam Book have over 850 pages combined and were developed by Empire Stockbroker Training Institute. Because we understand your frustration, our Manuals are written in plain English with shorter paragraphs and are focused on the FINRA Series Seven Exam content with no unnecessary fluff. Key features:

  • Updated for 2023
  • Comprehensive – The Course Textbook is complete and easy to understand
  • Diagrams – These not only help make studying more enjoyable they also help you visualize difficult concepts
  • Notes and Tips – Key points mixed throughout the chapters to emphasize important ideas
  • Chapter Exams – Multiple-choice questions at the end of each chapter with detailed explanations
  • Final Exams – Eleven 125-question practice exams with detailed explanations
  • Exterminator Exam – One 250-question really tough Exterminator (green-light) exam with detailed explanations
  • Mostly Math Exam – One Mostly Math exam with detailed explanations
  • More Options Exam – One More Options exam
  • Bonus – Key Words for Municipal Bonds

Series 7 Sample Pages:

All books were created by Steven M. Rice and Rueben Martinez

Series 7 Tutoring

FINRA Series 7 Test Outline