Series 7 Breakdown


If I received very low performing in “1. Seeks business for the broker-dealer from customers and potential customers” and “3. provides customers with information, makes recommendations, maintains records,” which should i really focus my time on?

I plan on rereading through the entire book start to finish, but wanted to see where I really needed to focus.


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Hi @Rosemary_Bradtke - I’m happy to help! I’ve listed important topics for both Functions 1 and 3 add provided relevant links to our materials. I recommend focusing primarily on Function 3, as it represents 73% of the exam (91 total questions). Function 1 only represents 7% of the exam (9 total questions).

Function 1 - Seeks Business for the Broker-Dealer from Customers and Potential
Customers - biggest topics:

Function 3 - Provides Customers with Information About Investments, Makes
Recommendations, Transfers Assets and Maintains Appropriate Records - biggest topics:

Good luck on your retake!

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Could you please do this for the other functions as well? Thanks!

Hi @MelodyyFaith - here you go!

Function 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial
Profile and Investment Objectives - biggest topics:

Function 4: Obtains and Verifies Customers’ Purchase and Sales Instructions and
Agreements; Processes, Completes and Confirms Transactions - biggest topics:

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