Series 7 Top-Off Exam

Study efficiently and conveniently for the Series 7 regulatory exam, mastering all the facts you need—corporate, municipal, and investment company securities, as well as variable annuities, direct participation programs, options and government securities—to do exceptionally well!

The Series 7 regulatory exam tests all the information necessary to know how to perform your job as a general securities representative, including knowledge of the various securities products, suitability considerations for investors, customer account types, and rules and regulations. (Note, that in order to become fully registered, you must also pass the Securities Industry Essentials (SIE) Exam.)

How to study for the Series 7

The SIE exam, a co-requisite to the Series 7, covers much of the same content as the Series 7. However, because the SIE tests the content on a more basic and foundational level, the Series 7 questions focus on a deeper application of the concepts. Therefore, expect the exam to be full of long, scenario, and suitability-based questions.

With the Series 7 exam’s unique challenges in mind, Brainscape—the world’s smartest study app—together with Knopman Marks, a leader in FINRA exam preparation with the highest pass rates in the industry, have curated these flashcards as the perfect, powerful study tool.

Used in conjunction with the required textbook, coursework, and practice questions, our Series 7 flashcards allow you to drill down and memorize all the relevant state and federal laws, while simultaneously providing a broad-based, but also in-depth coverage of all of the products and investment analysis tools that you need to be familiar with.

The focus of the Series 7 top-off exam

The flashcards on this app provided by Knopman Marks are organized into eight topical decks, each covering an essential component of the Series 7 content:

• Deck 1: Communications with the Public & New Issue Market
• Deck 2: Customer Accounts & Retirement Plans
• Deck 3: Securities Products & Suitability
• Deck 4: Options
• Deck 5: Direct Participation Programs
• Deck 6: Municipal Securities
• Deck 7: Margin Accounts
• Deck 8: The Secondary Market, Equity Trading, & Dispute Resolution

Brainscape helps you learn faster and remember for longer

The brain is hardwired to learn and remember information a certain way. The Brainscape™ flashcard app was born out of the question: what if we leveraged this hardwiring to help students learn more efficiently? Fueled by curiosity, our team of cognitive scientists from Columbia and Yale spent years developing a scientifically optimized learning platform to boost your learning.

Our "secret sauce" is a learning algorithm that delivers information to your brain in a way that optimizes its ability to retain that information. And it’s the spaced repetition of Series 7 content at precisely the right interval for YOUR brain that makes Brainscape so effective for remembering the facts.

With Brainscape’s Series 7 prep course, you get:

• Expert content provided by Knopman Marks covering all essential components of the Series 7 exam.
• Over 1,500 flashcards divided into 8 decks.
• Ongoing feedback, statistics, and visualization tools to help you track your progress.
• A carefully tailored curriculum that builds on previous concepts and guides you from definition to legal analysis.
• In-sync studying across Brainscape’s website and all your iOS and Android devices.

So put down the tired, old book from Securities Training Corporation (STC) or Kaplan -- and master the Series 7 in the shortest possible time!

Brainscape is not sponsored or endorsed by official publications, tools, or services connected to FINRA®.