Keyword Analysis & Research: series online 7

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Frequently Asked Questions

How do you get your series 7?

To take the Series 7 exam, you must be sponsored by a FINRA member firm or a self-regulatory organization (SRO). Firms apply for candidates to take the exam by filing a Uniform Application for Security Industry Registration or Transfer (Form U4). There is also an exam fee that is commonly covered by the sponsoring firm.

What is the series 7 top off exam?

The Series 7 top-off exam has a heavy emphasis on suitability and scenario-based questions, as well as on advanced concepts, such as complex options positions, tax rules, and margin accounting.


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