Wiley Series 7 Securities Licensing Exam Review 2020 + Test Bank The General Securities Representative Examination

Langue : Anglais

Couverture de l’ouvrage Wiley Series 7 Securities Licensing Exam Review 2020 + Test Bank

Résumé
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Biographie

The go-to guide to acing the Series 7 Exam!

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)
rights
warrants
mutual funds
money market funds
unit investment trusts
REITS
asset-backed securities
mortgage-backed securities
options
options on mortgage-backed securities
municipal securities
government securities
repos and certificates of accrual on government securities
direct participation programs
securities traders
venture capital
ETFs
hedge funds

About the Series 7 Exam xxiii

About this Book xxvii

About the Test Bank xxviii

About the Securities Institute of America xxix

Chapter 1 Equity Securities 1

Chapter 2 Debt Securities 29

Chapter 3 Government Securities 55

Chapter 4 Municipal Securities 65

Chapter 5 The Money Market 109

Chapter 6 Economic Fundamentals 117

Chapter 7 Options 133

Chapter 8 Mutual Funds 199

Chapter 9 Variable Annuities 241

Chapter 10 Issuing Corporate Securities 257

Chapter 11 Trading Securities 279

Chapter 12 Customer Accounts 317

Chapter 13 Margin Accounts 343

Chapter 14 Retirement Plans 363

Chapter 15 Brokerage Office Procedure 385

Chapter 16 Fundamental and Technical Analysis 405

Chapter 17 Direct Participation Programs 423

Chapter 18 Customer Recommendations, Professional Conduct, and Taxation 437

Chapter 19 Securities Industry Rules and Regulations 467

Answer Keys 507

Glossary of Exam Terms 525

Index 591

The Securities Institute of America, Inc. has an 18 year track record for excellence in securities exam training. Jeffrey Van Blarcom author from The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year Learn more at : https://securitiesce.com

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