The Complete Series 7 Exam Guide: Part 1 - What You NEED to Know!

Unlocking the Series 7 Exam: Part 1 – Understanding Function 1 of the FINRA Content Outline

In this first installment of our Series 7 Content Outline walkthrough, we dive deep into Function 1 and Function 2—critical foundational areas that set the stage for success on the exam.

🚀 What You’ll Learn in This Video:

Function 1: Seeks Business
Learn the ins and outs of engaging new and existing clients effectively. We cover communication standards, marketing best practices, and regulatory approvals required under FINRA and SEC rules
Why Watch Part 1?

It's the essential foundation—laying out the first 20% of your exam’s scope.

Gain clarity on how to prove client relationships and build a compliant practice from Day One.

Perfect for both beginners and review candidates—we keep it clear, structured, and packed with exam-relevant insights.

This isn’t fluff. It’s straight-to-the-point exam prep from someone who’s trained thousands of students to crush this test.

📚 Perfect for:

Anyone just starting their Series 7 prep

People struggling to connect the outline to the actual questions

Test-takers who want a real-world explanation, not textbook jargon

👊 Let’s get after it.
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Finance professionals brushing up on compliance, account opening, and client outreach essentials.
0:00 Intro
01:01 Communications
01:12 Retail Communications
01:30 Communication Filing with FINRA guidelines
02:49 Filing with FINRA cheat sheet
03:50 Institutional Communications
04:24 Correspondence
05:55 Mutual Fund Advertising
06:40 Option Advertising and Communications
07:17 DATO15
08:00 IPO research blackout periods
09:40 Bond Volatility ratings
12:04 Securities Act of 1933




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