Top Off Exams
Series 6
Investment Company and Variable Contracts Products Representative Qualification Exam
Module 1: Communication with Clients and Potential Clients
1.1 Promotional and Advertising Materials (4)
1.2 Solicitation of Investment Products (5)
Module 2: Client Account Set Up and Maintenance
2.1 Types of Accounts (6)
2.2 Client Information (3)
2.3 Client Profile (5)
2.4 Supervisory Approval (3)
Module 3: Client Meetings, Information Sharing, Recommendations, Transfers, and Record Retention
3.1 Investment Strategy (5)
3.2 Suitability (7)
3.3 Disclosures (6)
3.4 Communication and Record Retention (5)
Module 4: Client Transactions
4.1 Current Quotes (3)
4.2 Client Transactions (3)
4.3 Discrepancies, Disputes, Errors, and Complaints (4)


Series 7
General Securities Representative Qualification Exam
Module 1: Communication with Clients and Potential Clients
1.1 Promotional and Advertising Materials (4)
1.2 Solicitation of Investment Products (15)
Module 2: Client Account Set Up and Maintenance
2.1 Types of Accounts (6)
2.2 Client Information (3)
2.3 Client Profile (6)
2.4 Supervisory Approval (3)
Module 3: Client Meetings, Information Sharing, Recommendations, Transfers, and Record Retention
3.1 Investment Strategy (8)
3.2 Suitability (10)
3.3 Disclosures (9)
3.4 Communication and Record Retention (7)
Module 4: Client Transactions
4.1 Current Quotes (7)
4.2 Client Transactions (7)
4.3 Discrepancies, Disputes, Errors, and Complaints (4)
4.4 Margin Transactions (7)