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Official General Securities Representative Exam Syllabus:
Major Job Functions
Number of Exam Items
(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers
(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
(F3) Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records
(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions
Official General Securities Representative Exam Details:
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