Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.

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Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 7 Exam |General Securities Registered Representative

The Series 7 exam is a New York Stock Exchange (NYSE) generated exam -- accepted by FINRA (NASD) -- for anyone employed by a broker/dealer who will trade all types of securities. This is the most comprehensive of the registered representative exams. 

The Series 7 license essentially covers the #6, #22, #42, #52, and the #62 exams. For example, if you pass the Series 7 test you do not need to sit for the Series 6 to sell mutual funds, or the Series 22 to sell limited partnerships, etc.

FINRA released a new study outline for the Series 7 exam. The new exam will go into effect on November 7, 2011, The passing score is being raised to 72%.

We have been anticipating changes to the Series 7 for some time and have been adding material to our current Series 7 books in anticipation that it will be appear in the new exam. From an initial review of the new study outline, all of the new material is already included in our current Series 7 books. tested. For this reason, changes to our printed text material will be minor.

The major changes will be in our Smart program and databank cd where we will be reallocating the questions to reflect the new mix. For example, Options is being reduced to 25 questions from its current 50. Muni questions are being reduced to 30 from the current 50. This frees up 45 questions that are being reallocated to more detailed questions in areas such suitability, retirement plans, investment company, customer profile and asset allocation.

250 Questions / 6 Hour Time Limit
(Given in two three-hour sessions of 125 questions each)

No prerequisite    $290 test fee    (Form U-4)

Test Topics
Approximate Test Questions
Equity Securities  10
Debt Securities 60
Options 40
Trading Markets 20
Customer Accounts 20
New Issues 15
Investment Companies 25
Taxes 20
Regulations 25
Analysis 15
       Total 250 questions

Series 7 Exam Study Text



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The ten-chapter program comes in two 8 1/2" x 11" Volumes that thoroughly discuss the topics you will encounter on the Series #7 exam.


Short/concise practice quizzes are strategically interspersed within each chapter -- which lets you start-and-stop whenever you want on a conceptual test topic!



  • The Chapter Exams provide additional tougher questions than in the Two Study Volumes to force you to know the subject area.
  • The Final Exams are additional exams -- and the toughest yet -- and are weighted in the same manner as the actual exam.  
  • All questions have a complete rationale -- that is, what is the preferred answer and why the others don't fit. The only #7 prep materials designed this way!


  • A thorough dictionary of securities terms

The 1,000+ page program is CURRENT, COMPREHENSIVE, and packed with over 3,000 simulated exam-tough questions with fully expanded answers!
What’s right, what’s wrong, and why!

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Series 7 Exam CD


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CD is Windows Only!

The Windows CD:

  • Includes a data bank of 8,000+ exam-type questions and full explanations -- They are exam-tough!

Here's a recap:

  • 50 Quizzes - 5 for each of the 10 major sections on the Series 7 exam
  • 5 Mid-Terms, covering Equities, Debt, Options and Trading Markets
  • 10 Finals, showing the proper weighting of questions from each subject area
  • 1300+ hyperlinked Glossary terms
  • 7 Secrets - Tips for Passing the Exam!

No two tests in the data bank are the same - the depth of the data bank ensures that each question is unique. These questions give you an accurate measure of your likelihood of passing the exam -- these disks are a great supplement to any study materials that you may have!!



  • 7 MB of hard disk space
  • Windows Only


  • The prep CD is used after you have completed your self-study program
  • The CD has exams by category that are simulated to reflect the difficulty of the actual exam
  • Scores are kept on your tests exams -- and missed questions bounce back at you so you can review them -- insuring your understanding!
  • Take the quizzes until you get a 70-80% accuracy and THEN take the final exams
  • Once you get 80 %+ on the finals -- your actual #7 exam will be a SLAM DUNK!
  • Once you get 90%'s on the finals -- your actual exam will be a SLAM DUNK

On this single-user system you can take the quizzes as many times as you like, but the CD expires after a certain time-period from the date of purchase -- you should take the Series 7 exam within 120 days of buying the CD.

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best buyStudy Text + Test Questions CD


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CD is Windows Only!

Have the study books supplemented with the practice questions on CD. It’s nice to practice test questions on your computer to help simulate the actual exam!

Smart 7 on the Web

Smart 7
on the web

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Your order is processed manually during regular business hours and download instructions will be sent to your email address.

No Books! No Shipping. 

This internet delivered Series 7 exam study program eliminates books and has all material on the web!

The program is divided into the same ten  “Chapters” as our Series 7 text and includes an on-line textbook that leads you through every topic – testing you on each major point.

It’s design has been field tested on thousands of students over the past 3 years and tailors the learning to your abilities!

It’s a dynamic program – it modifies your leaning sequence based on your strengths and weaknesses. If you’re having difficulty with a concept -- you’re presented with the information in a variety of reinforcing methods until you master it! On points that you understand you’ll quickly move through a topic –- Nice!

The material covers over 1800 concepts arranged within the 10 major areas of the Series 7 exam. The practice questions clearly explain which answer is correct -- and why the others are wrong for the more complex concepts.

The program has:

  • Mastery Exams that include:
    • Quizzes that test each of the 10 major areas
    • Mid-term exams covering Equities, Debt, Options, and Trading Markets
    • Final exams covering all 10 areas and weighted to reflect the actual nature of the Series 7 exam
  • A Quick 7 Summary – that’s an easy-to-read condensation of the most important topics tested on the Series 7
  • Detailed feedback on areas that need additional study
  • Full text search capability through the Glossary and Quick 7 Summary
  • 7 Secrets – tips for passing the exam!

System requirements:

  • Browser on Windows or Mac OS and use:
    • Internet Explorer (version 6 or better, only on Windows) or
    • Google Chrome or
    • Safari or
    • Firefox (version 3.6 or better)

The content for the Series 7 is constantly updated. Changes are added to the material as they become available.

The license to use the Smart 7 expires one year after the purchase date. In addition, if the account does not show any activity for 60 days, the account will be made inactive. Should this happen, an individual account will be reactivated upon request any time during the one year license. Requests for reactivation should be sent to: You must reference your order number, date of order, full name, and email address when contacting support.

It’s suggested that this study approach is best used if you’re going to sit for the Series 7 exam within the next 6 months!  

best buySmart 7 on the Web + Books


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Smart 7 on the Web + Books + Quick 7

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In addition to the total program on the web, you can add the hard copy study books and the Quick 7 summary booklet  -- this is a nice combination!

Be sure to check out our other products: