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FINRA Exam > Series 28 > Series 28 – Module 12: Final Review and Practice Exam > Series 28 – Module 12: Final Review and Practice Exam

Series 28 – Module 12: Final Review and Practice Exam

This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You’ll learn about broker-dealer regulations, the role of FINRA, and arbitration procedures, equipping you with the knowledge needed to succeed in the Series 7 exam and ensure compliance in your career.

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'FINRA Exam Mastery'
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SIE Exam Mastery Course

Step 1: Introduction to the Securities Industry

Begin your journey with the first course in a complete 12-step program

🚀 Start with the Foundation

This course is Step 1 of the full SIE Exam Mastery program — a structured, expert-designed course that prepares you to pass the Securities Industry Essentials (SIE) Exam and launch your career in finance.

In this step, you’ll gain the core knowledge needed to understand how the securities industry operates, who participates in it, and why regulation is so important. Everything that follows builds on this foundation.

Start this course

🎯 What You’ll Learn in Step 1

This introductory course will give you a clear and practical understanding of:

  • The structure and function of U.S. capital markets

  • The difference between the primary and secondary markets

  • The roles of key participants: broker-dealers, investment advisers, custodians, and clearing firms

  • The purpose of regulation, and the work of the SEC, FINRA, and other agencies

  • How the SIE Exam fits into the licensing path (and what comes next)

You’ll leave this step with the vocabulary, context, and confidence to move forward in the program—and toward passing the exam.

👤 Who This Course Is For

Step 1 is perfect for:

  • Students preparing for their first FINRA licensing exam

  • Beginners with no prior experience in the financial industry

  • Career changers who want to understand the financial system from the ground up

  • Anyone who wants to make sure they fully understand the basics before diving deeper

📦 What’s Included in This Step

To help you master the material, this course includes:

  • 🎥 A clear, high-quality video lesson covering the industry’s structure and participants

  • 📄 A downloadable summary sheet with definitions and visual diagrams

  • ✅ A step-level quiz to test and reinforce your understanding

  • 💬 A real-world scenario to show how regulation protects investors in practice

This is the starting point for your full exam prep journey.

🧭 What Comes Next?

This is just the beginning. After completing Step 1, you’ll continue through the following steps:

  • Step 2: Investment Products

  • Step 3: Market Participants

  • …all the way to

  • Step 12: Final Practice Exam and Exam-Day Strategy

Each step builds on the previous one and guides you toward complete exam readiness.

🔐 Unlock Access

This course is available as part of the full SIE Exam Mastery membership.

Your one-time payment includes:

  • All 12 SIE steps (including quizzes, notes, and video lessons)

  • A full-length final practice exam

  • Lifetime access — no expiration

  • Full access to additional FINRA courses: Series 6, 7, 24, 63, 66, and more

  • Free updates whenever content evolves

👉 [Join Now – $1,350 Lifetime Access]

What is the Series 7 exam? Answer: The Series 7 exam, also known as the General Securities Representative Exam, is a test administered by FINRA (Financial Industry Regulatory Authority) that qualifies individuals to work as general securities representatives. Passing this exam is essential for anyone who wants to trade securities, such as stocks, bonds, and mutual funds.
How long is the Series 7 exam? Answer: The Series 7 exam is 3 hours and 45 minutes long. It consists of 125 multiple-choice questions, covering various topics related to securities trading and regulations.
What topics are covered in the Series 7 exam? Answer: The exam covers a broad range of topics, including equity securities, debt instruments, investment companies, options, trading markets, customer accounts, and FINRA rules and regulations.
Do I need any prerequisites to take the Series 7 exam? Answer: Yes, you must be sponsored by a FINRA member firm or a self-regulatory organization (SRO) to take the Series 7 exam. Additionally, you need to pass the Securities Industry Essentials (SIE) exam before you can sit for the Series 7 exam.
How should I prepare for the Series 7 exam? Answer: Preparation involves studying comprehensive course materials, taking practice exams, and understanding key concepts and regulations. Our course provides detailed lessons, video tutorials, quizzes, and practice exams to help you prepare effectively.
How much does the Series 7 exam cost? Answer: The exam fee for the Series 7 is $300, which is paid to FINRA when you register for the exam. This fee does not include the cost of study materials or courses.
What is the passing score for the Series 7 exam? Answer: To pass the Series 7 exam, you must score at least 72%. This means you need to correctly answer 90 out of the 125 questions.
How often can I retake the Series 7 exam if I fail? Answer: If you fail the Series 7 exam, you must wait 30 days before retaking it. If you fail three times, there is a 180-day waiting period before you can attempt the exam again.
What resources are included in your Series 7 exam preparation course? Answer: Our course includes video lessons, detailed study guides, practice exams, interactive quizzes, and downloadable resources. Additionally, we provide continuous updates to ensure the material stays current with industry changes.
How do I access the course and what is the cost? Answer: Our Series 7 exam preparation course is available to subscribers for a one-time fee of $490. This fee grants you lifetime access to all our courses, study materials, and updates. You can access the course online from any device with an internet connection.

Announcement for Students: Exciting Updates to Our Series 7 Exam Preparation Course!

Dear Students,

We are thrilled to announce some exciting updates and enhancements to our Series 7 Exam Preparation Course! As part of our ongoing commitment to provide you with the best possible learning experience, we have implemented several new features and resources designed to support your success.

Comprehensive Course Content

Our Series 7 Exam Preparation Course now includes expanded content that covers all key areas of the Series 7 exam in even greater detail. From equity and debt securities to options, trading markets, and customer accounts, our course materials are designed to ensure you have a thorough understanding of all exam topics.

Engaging Video Lessons

We have added more video lessons, featuring detailed explanations and real-world examples to help you grasp complex concepts easily. These videos are led by industry experts who bring their extensive knowledge and experience directly to you, making learning both engaging and effective.

Interactive Quizzes and Practice Exams

To reinforce your learning and help you gauge your understanding, we have included more interactive quizzes and practice exams throughout the course. These quizzes mirror the format of the actual Series 7 exam, providing you with a realistic test-taking experience. Detailed explanations for each question help you understand the rationale behind the correct answers.

Downloadable Study Materials

Our course now offers a wider range of downloadable study materials, including comprehensive study guides, detailed notes, and useful charts and graphs. These resources are designed to supplement your learning and provide you with additional tools to review key concepts at your convenience.

Lifetime Access and Continuous Updates

For a one-time fee of $490, you gain lifetime access to our Series 7 Exam Preparation Course, as well as all future updates and new content. We continuously revise and expand our course materials to reflect the latest industry changes and exam updates, ensuring you always have access to the most current information.

Supportive Learning Community

Join a vibrant community of like-minded individuals who are also preparing for the Series 7 exam. Share insights, ask questions, and support each other through our interactive forums and discussion groups. Our dedicated support team is also here to assist you with any questions or issues you may encounter along the way.

We are confident that these updates will enhance your learning experience and better prepare you for the Series 7 exam. Thank you for choosing us as your trusted partner in your journey towards becoming a certified securities representative. We look forward to celebrating your success!

Best regards,

FINRA Exam Mastery

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Series 28 – Module 12: Final Review and Practice Exam
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