Series-7 domain - 11% of the exam

Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes and Confirms Transactions

Obtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes and Confirms Transactions is 11% of the FINRA Series 7 (General Securities Representative) exam. These are the objectives it covers, each with practice questions and worked explanations.

Objectives in this domain

Sample question from this domain

Free sampleObtains and Verifies Customers' Purchase and Sales Instructions and Agreements; Processes, Completes and Confirms Transactionsmedium

A customer wants an order that will be triggered only if the stock rises through a price above where it currently trades. Relative to the current market, where must a buy stop order be placed, and what type of protection does it typically provide?

  • ABelow the current market, used to protect a profit on an existing long position from further decline.
  • BAbove the current market, used to limit a loss on an existing short position if the stock rises. Correct
  • CBelow the current market, used to buy in at a lower price after the stock has fallen through the stop.
  • DAbove the current market, used to guarantee a purchase price no higher than the stop once it is elected.
A buy stop is entered above the current market and is typically used to protect a short position or capture upside momentum. A stop order rests away from the market until the stock reaches its trigger. Buy stops are set above the market because they are elected by a rising price, most often to limit losses on a short sale, while the mechanics offer no execution price guarantee once triggered.

Why A is wrong: This describes a sell stop, not a buy stop. A sell stop sits below the market to protect a long position, so both the placement and the strategy are wrong for a buy order.

Why B is correct: A buy stop is placed above the current market and is elected when the stock trades at or through the stop price, commonly to cap losses on a short sale or to buy on upside momentum.

Why C is wrong: A resting order to buy below the market at a set price is a buy limit, not a buy stop. A buy stop is never placed below the market, so this confuses the two order types.

Why D is wrong: Placement above the market is right, but a plain buy stop guarantees no price. Once triggered it becomes a market order and can fill above the stop, so the price guarantee is false.

Other domains in this exam

See also the Series-7 cert hub, the study guide, and the cheat sheet.

Examworthy is not affiliated with or endorsed by FINRA. Original, blueprint-aligned practice material only.