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It explains how the guide functions as an ongoing resource after the program ends and summarizes the Series 7 exam structure: 125 multiple-choice questions plus 10 experimental items, with a 3 hours 45 minutes time limit. 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Once the On-Demand program is complete, this Learning Guide can be used as an ongoing resource.  \nAbout the Series 7 Exam  \n1  \n125 MultipleChoice Questions  \n2  \n3 Hours and 45 Minutes Allotted to Complete Exam  \n3  \n10 Additional Questions are Included as Experimental (don’t count for or against the score)  \n| Function | Chapters | \\# of Questions |\n| --- | --- | --- |\n| 1. Seeks Business for the Broker-Dealer from Customers and Potential Customers | 3 and 13 | 9\u003Cbr>(7% of exam) |\n| 2. Opens Accounts After Obtaining and Evaluating Customers’Financial Profile and Investment Objectives | 1 and 2 | 11\u003Cbr>(9% of exam) |\n| 3. Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records | 4, 5, 6, 7, 8, 9, 10, 11, 12 ,\u003Cbr>14, 15 , 16 and 20 | 91\u003Cbr>(73% of exam) |\n| 4. Obtains and Verifies Customers’ Purchases and Sales Instructions | 17, 18, | 14 |\n| and Agreements; Processes, Completes and Confirms Transactions | 19 and 20 | (11% of exam) |\n\n© Copyright 2025. All Rights Reserved. v28  \nThe following presentation is owned by Securities Training Corporation and is protected by the United States Copyright Law and applicable international, federal, state, and local laws and treaties. The presentation is made available to you for your personal, non-commercial use as a study tool to assist you in preparing for the related examination and no other purpose. ALL OTHER RIGHTS ARE EXPRESSLY RESERVED.  \nAny other use by you, including but not limited to, the reproduction, distribution, transmission or sharing of all or any portion of the presentation, without the prior written permission of Securities Training Corporation in each instance, is strictly prohibited.  \nChapter 1 – Building an Investor Profile  \nKey Topics  \n\n| 1\u003Cbr>FINANCIAL FACTORS\u003Cbr>Learn about the financial concerns when developing a client’s investment profile. |  | 2\u003Cbr>PERSONAL CHARACTERISTICS\u003Cbr>Learn about how an investor’s age, risk tolerance, and experience are used to develop the investment profile. |\n| --- | --- | --- |\n\n\n| 3\u003Cbr>FINANCIAL OBJECTIVESAND GOALS\u003Cbr>Learn about what types of investments may be used to achieve various investment goals. | 4\u003Cbr>KNOW YOUR CUSTOMER\u003Cbr>Learn about importance of suitability and FINRA’s rules for an RR’s obligations. |\n| --- | --- |\n\nRegulation Best Interest (BI)  \n\n| Client Relationship Summary (Form CRS) | Its purpose is to provide retail investors with information about the nature of their relationship with their financial professional in a simple, easy-to-understand format\u003Cbr>􀂃 Form CRS must be NO LONGER than two pages\u003Cbr>􀂃 New customers must receive Form CRS by no later than the time they open a brokerage account, place an order, or receive a new recommendation for an account type, securities transaction, or investment strategy\u003Cbr>􀂃 Broker-dealers must file Form CRS with CRD; investment advisers must file Form CRS with IARD |\n| --- | --- |\n| Titles in Form CRS | In order to use the term adviser or advisor, a firm must be a registered investment adviser\u003Cbr>􀂃 Registered representatives can only use these terms in their title if they’re registered\u003Cbr>with either a Series 65 or Series 66 designation |\n| Sales Contests | Reg BI effectively bans all sales contests, quotas, bonuses, and other forms of non-cash compensation that are tied to sales of specific securities or specific types of securities within a limited period\u003Cbr>􀂃 Compensation based on total sales, asset growth or accumulation, or customer\u003Cbr>satisfaction is still permitted |\n\nKnow Your Customer  \nSince every customer is unique, it’s imperative to gather the necessary information and develop a complete profile of the custom","cbCaioMPmRE5Sfwh","https://ap.wps.com/l/cbCaioMPmRE5Sfwh","pdf",2719051,170,"English","# How to Use This Learning Guide\n# About the Series 7 Exam\n## Exam Questions and Time Allotment\n## Exam Content Breakdown\n# Chapter 1 – Building an Investor Profile\n## Key Topics\n## Regulation Best Interest (Reg BI)\n## Know Your Customer\n## Financial Factors\n## Tax Considerations","[{\"question\":\"How should the Learning Guide be used during the On-Demand lecture?\",\"answer\":\"Use the guide to take notes, answer questions, and complete activities as the instructor presents the material through the On-Demand lecture.\"},{\"question\":\"What are the key details of the Series 7 exam format?\",\"answer\":\"The exam includes 125 multiple-choice questions and 10 additional experimental questions, with 3 hours and 45 minutes allotted to complete the exam.\"},{\"question\":\"What does Reg BI require regarding Form CRS for retail investors?\",\"answer\":\"Form CRS is intended to give retail investors a simple, easy-to-understand summary of the relationship with their financial professional, must be no longer than two pages, and must be provided to new customers by the time they open an account, place an order, or receive a new recommendation.\"}]","Series 7 - General Securities Registered Representative - Learning Guide / Workbook | PDF",1790328351,428]