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FINRA Series 7 Top-Off Exam Prep & Study Materials
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Want to walk into your Series 7 Exam with confidence?
We’ve got you covered.

Prepare for the FINRA Series 7 Top-Off Exam with our industry-leading training package. Get access to the most extensive on-demand course available for the new exam, plus personal attention from an instructor. The redesigned Series 7 Top-Off course includes new supplements to help you drill deeper on options and suitability concepts.

This exam is a requirement for persons who solicit and transact business in securities for broker-dealers.

Pass Rate
Series 7 Top-Off Exam Prep Course
Series 7 Top-Off All Access Pass

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Reliable Practice Exams
Our unique set of diagnostic, benchmark, and practice tests can accurately predict your readiness level and your likeliness of passing the actual exam
99% of candidates who pass our Series 7 benchmark exam on the first try pass the actual exam.
97% of candidates who average between 65% - 70% on their first 500 Series 7 practice questions pass the actual exam on the first try.
What’s Included
Our comprehensive course includes everything you
need to study:
15+ Hours of Video Lectures
Access to our Training Center
Benchmark and Diagnostic Exams
Digital Flashcards
Textbook/Ebook (Kaplan)
Downloadable Supplements
iOS Mobile App to Study Offline
Online Question Bank (Kaplan)
Client Success Team Support
And everything you need to truly succeed:
Access to the online Training Center, your digital study hub full of proprietary KM study guides, videos, and more
Real-time email updates from instructors with last-minute tips and nudges exactly when you need them
Proactive ongoing check-ins from our expert team
Easy-to-follow action plan with clear-cut guidance and suggested next steps
Get even more instruction with the All Access Pass.

With the All Access Pass add-on, you can take as many SIE classes throughout your training as you need. View Class Schedule

Group Onboarding Call
A 60-minute virtual call where students meet the team, explore the Training Center, and learn how to get started quickly.
Review Sessions
In ongoing 60-minute, live Q&A sessions, Knopman Marks instructors dive deep into questions on the most difficult concepts. You can participate in real time and engage in interactive polling.
Traditional Faculty-Led Classes
A live-streamed, faculty-led delivery of the Knopman Marks lectures, covering the most frequently tested and difficult concepts you're likely to find on the exam.
Blended Classes
A scheduled course that blends the on-demand recorded lectures from the Training Center with faculty-led coaching and review sessions.
Demo the training center

Take a test drive of our Training Center--the place for all your course materials, video lectures, and supplements. You can use the Action Plan to keep you focused and track your progress.

Our whole team is with you...

We put together a team of the most knowledgeable instructors, coaches, and staff for each course that will keep you on track and meeting your goals. They’re with you every step of the way.

Client Success Captain
Onboarding Specialist
Data Lead
Series 7 Top-Off Course Curriculum
Lesson 1
Introduction & Account Types
Lesson 2
Lesson 3
Lesson 4
Debt Securities
Lesson 5
Corporate Debt Securities
Lesson 6
Municipal Debt Securities
Lesson 7
Treasury Securities
Lesson 8
Investment Companies
Lesson 9
Insurance Products
Lesson 10
Lesson 11
Other Managed Products
Lesson 12
Other Products CMO
Lesson 13
Portfolio Analysis
Lesson 14
Risks Disclosures
Lesson 15
Handling Customer Accounts
Lesson 16
Order Types and Customer Accounts
Lesson 17
Processing Orders
Lesson 18
Complaint Resolution
Lesson 19
Communications with the Public
Lesson 20
New Issues, Exemptions, & Wrap-Up
Lesson 21
Series 7 Flashcards (All Topics & Individual Lessons)
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Exam Details
About the Series 7 Top-Off Exam
Exam Format
125 graded multiple-choice + 10 experimental, ungraded questions
3 hours and 45 minutes
Passing Score
Recommended Study Time
75 to 100 hours
”I just wanted to take a moment to let you all know that I PASSED THE SERIES 7!!!! I couldn’t have done it without the amazing support system of my instructors, and for following Knopman the entire way, and as we all say now, “Trust the Process”! Thank you for everything!”
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Series 7 Top-Off FAQ
Can I take the Series 7 exam if I am not sponsored?

You must be sponsored by a FINRA member firm in order to take the actual Series 7 Top-Off examination. Learn more about sponsorship and consider the SIE exam if you aren't sponsored.

How does the difficulty of your Series 7 practice questions compare to the difficulty of the questions I am likely to see on the actual exam?

The practice exams' questions are slightly more difficult than the actual Series 7 Top-Off Exam, so you should be scoring in the high 60s/low 70s online before taking the exam.  The diagnostic exams are the same level of difficulty as the actual exam, so any passing score on those exams is good.

Is All Access Pass (AAP) the only way I can get live training?

Yes. The AAP is the only way our students can attend live (or live-streamed) training and review sessions, with more expert instruction, guidance, coaching, and support through the most heavily tested and difficult concepts.

Are the slides and material covered in the All Access Pass classes different from what’s covered in the video lectures?

The live-class slides are the same slides shown in the videos, representing the best distillation of the content we offer. The advantage of the recordings is that you can watch them on your own schedule, and you can speed up or replay material. The advantage of having an instructor deliver the information life is the student-teacher connection that offers the most nuanced test insights, including real-world examples, performance-enhancing tips, questions from other students, and even jokes.

How many questions should I complete on the practice exams before I take the exam?

You should plan on completing about 1000 Series 7 practice questions online, plus the PDF exams, prior to taking the exam. If your scores are not within passing range at that point, you may need to complete more questions.

How should I incorporate the PDF exams into my prep?

We prove three types of exams: practice exams, diagnostic exams and the benchmark exam. There are four PDF diagnostic exams that you can download from the Training Center. These exams should be staggered with the practice exams so that for every 250 questions you complete online, you complete one PDF diagnostic exam. The diagnostic exams are very close in difficulty to the actual exam, so they should be completed "closed book" and in one sitting.  You should not do any of the diagnostic exams until you are within two weeks of taking the examination.  You should complete the benchmark exam 2-3 days before your scheduled exam date.

How soon after the class should I take my Series 7 Top-Off Exam?

If you come to class having read the material you should give yourself about one week to complete practice exams after the conclusion of the program before taking the examination.  If you have not read the material before coming to class you will need more time after class ends.

Should I expect to use the full time allotted on the exam?

Most students are able to finish the exam within the allotted time, without being rushed.

Should I read the book before class?

Though it is not mandatory to read the material before coming to class, doing so will enable you to reinforce the concepts discussed in the book.  If you have not read the Series 7 material prior to class you will need more time after class to prepare before you take the examination.

What is the usual study time for this exam for the typical student?


Assuming you are working full time while preparing for the examination, you should allow yourself two to three weeks to read through the material and another one to two weeks to complete practice exams.  You should attend the live class, watch the online video lectures or receive private instruction while you are reading the material or immediately after reading the material.  The total study time is typically five to seven weeks while working full-time.

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