This course is designed to prepare you for the The FINRA Series 7, General Securities Representative Qualification Exam. The Series 7 exam is an entry-level exam that is required for individuals seeking to perform the critical functions of a general securities representative.
Overview
Syllabus
- Ch 1. Advertising & Public Communication in the Securities Industry
- Ch 2. The New Issues Market
- Ch 3. New Issue Regulations in the Securities Industry
- Ch 4. Brokerage Account Types & Restrictions
- Ch 5. Retirement Plans & Tax-Advantaged Accounts
- Ch 6. Handling Customer Investment Information & Discretionary Accounts
- Ch 7. Obtaining Supervisory Approvals for Investment Accounts
- Ch 8. Analyzing Customer Investment Profiles
- Ch 9. Analyzing Customer Financial Statements
- Ch 10. Understanding Equity Securities
- Ch 11. Tax Treatment of Equity Securities Transactions
- Ch 12. Packaged Investment Products
- Ch 13. Variable Life Insurance & Annuities
- Ch 14. Real Estate Investment Trusts
- Ch 15. Direct Participation Programs
- Ch 16. Understanding Options in Investing
- Ch 17. Debt Securities
- Ch 18. Investing in Corporate Bonds
- Ch 19. Municipal Securities
- Ch 20. Municipal Securities Analysis & Regulations
- Ch 21. Registered Hedge Funds
- Ch 22. Asset-Backed Securities
- Ch 23. U.S. Government Agency Securities
- Ch 24. Investment Product Disclosures
- Ch 25. Customer Updates & Record Retention
- Ch 26. Customer Transactions & Confirmations
- Ch 27. Transactional Delivery Obligations & Settlement Procedures
- Ch 28. Investment Disputes & Customer Complaints
- Ch 29. Addressing Margin Issues
