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More About This Title Wiley Series 7 Exam Review 2015 + Test Bank: The General Securities Representative Examination
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The most comprehensive guide to the Series 7 exam in the marketplace includes a self-directed study guide with all the most essential information to becoming a stockbroker. Areas covered include: Stocks, Debt Securities, Investment Banking, Securities Markets, Taxes, Securities Analysis, Self-Regulatory Organizations (SRO's), Mutual Funds and Investment Companies, Annuities, Margin, Options, Money Market Instruments, Direct Participation Programs and Municipal Securities. There is no prerequisite exam for the FINRA Series 7, however, test takers will be required to take the Series 63 or Series 66 as co-requisite exams. The Series 7 exam is made up of 260 multiple-choice questions of which 10 are experimental. Each student will be given a total of 6 hours for the exam (3 hours for each half). A grade of 72 is considered passing. This book includes multiple practice exams to help test takers improve their scores.
The General Securities Representative Examination (Series 7) is an entry-level examination that qualifies the individual for registration with all self-regulatory organizations to trade, promote, and sell:
Public offerings and/or private placements of corporate securities (stocks and bonds)rightswarrantsmutual fundsmoney market fundsunit investment trustsREITSasset-backed securitiesmortgage-backed securitiesoptionsoptions on mortgage-backed securitiesmunicipal securitiesgovernment securitiesrepos and certificates of accrual on government securitiesdirect participation programssecurities tradersventure capitalETFshedge fundsEnglish
ABOUT THE SERIES 7 EXAM XXI
ABOUT THIS BOOK XXV
ABOUT THE TEST BANK XXVI
ABOUT THE SECURITIES INSTITUTE OF AMERICA XXVII
CHAPTER 1 EQUITY SECURITIES 1
CHAPTER 2 DEBT SECURITIES 29
CHAPTER 3 GOVERNMENT SECURITIES 53
CHAPTER 4 MUNICIPAL SECURITIES 63
CHAPTER 5 MONEY MARKET 105
CHAPTER 6 ECONOMIC FUNDAMENTALS 113
CHAPTER 7 OPTIONS 127
CHAPTER 8 MUTUAL FUNDS 189
CHAPTER 9 VARIABLE ANNUITIES 227
CHAPTER 10 ISSUING CORPORATE SECURITIES 241
CHAPTER 11 TRADING SECURITIES 259
CHAPTER 12 CUSTOMER ACCOUNTS 291
CHAPTER 13 MARGIN ACCOUNTS 309
CHAPTER 14 RETIREMENT PLANS 329
CHAPTER 15 BROKERAGE OFFICE PROCEDURE 349
CHAPTER 16 FUNDAMENTAL AND TECHNICAL ANALYSIS 369
CHAPTER 17 DIRECT PARTICIPATION PROGRAMS 385
CHAPTER 18 CUSTOMER RECOMMENDATIONS, PROFESSIONAL CONDUCT, AND TAXATION 397
CHAPTER 19 SECURITIES INDUSTRY RULES AND REGULATIONS 423
ANSWER KEYS 457
GLOSSARY OF EXAM TERMS 475
INDEX 541
