FINRA Series-7 考試大綱：

主題	簡介
主題 1	Seeks Business for the Broker-Dealer from Customers and Potential Customers: This section covers the candidate’s ability to generate business for a broker-dealer by contacting and engaging with current and potential customers using various methods such as in-person interactions, telephone, mail, and electronic communications. It also reviews the candidate’s understanding of marketing requirements, regulatory standards for public communications, and the proper handling of promotional materials. This section of the exam measures the abilities of sales professionals in generating business for broker-dealers.
主題 2	Function 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives: In this section, the exam evaluates how candidates gather and assess customer information to open accounts. It focuses on understanding different account types, the documentation required for account registration, and the process of updating customer financial profiles and legal documents. The material emphasizes regulatory disclosures and procedures for handling retirement plans and tax-advantaged accounts. This section assesses the capabilities of client account managers in understanding and evaluating customers' financial needs.
主題 3	Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes and Confirms Transactions: This section focuses on the operational aspects of executing customer transactions. It examines the candidate’s knowledge of order types, trade execution, and the processing of purchase and sale instructions. It also includes an overview of margin account requirements, order confirmation procedures, and the resolution of discrepancies or disputes. This section tests the proficiency of trading operations specialists in processing and verifying transactions.
主題 4	Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records: This part of the exam tests a candidate’s proficiency in advising clients by providing detailed information on investment strategies, risks, and rewards. It reviews fundamental and technical analysis, portfolio management principles, and the communication of market trends and investment performance. Additionally, it covers the importance of proper recordkeeping and the disclosure of investment risks and costs. This section evaluates the expertise of investment advisors in communicating and managing customer investments.

參考：https://www.finra.org/registration-exams-ce/qualification-exams/series7

FINRA Series-7 考試概覽:

認證廠商:	FINRA
考試名稱:	綜合證券代表資格考試（GS）
考試代碼:	Series-7
考試形式:	選擇題, 電腦化測驗
實際考試題數:	125題計分題 + 5題不計分預試題
考試費用:	395美元
考試時間:	225 分鐘
及格分數:	72%
支援語言:	English
相關認證:	Series 63 Series 6 Series 66 Series 65 Securities Industry Essentials (SIE)
證照有效期限:	於登記狀態並完成持續教育期間有效；若持續活躍則無固定效期
推薦課程:	FINRA 官方考試範圍大綱
考試報名:	Prometric 考試預約 FINRA Series 7 資格登記
範例考題:	FINRA Series-7 範例考題
考試方式:	於授權之Prometric考試中心進行電腦化測驗
必備條件:	須由FINRA或SRO會員機構推薦；並須通過Securities Industry Essentials (SIE)考試作為共同資格條件
官方大綱網址:	https://www.finra.org/registration-exams-ce/qualification-exams/series7