The Series 7 Exam is a challenging test and your results can make a huge difference when it comes to your future. If you do well on the exam, it can open doors and lead to wonderful opportunities. If you do poorly on the exam, you will find yourself with a lot fewer options. You may have to put your plans for the future on hold, or even give up on them altogether. Preparing for your exam with our Series 7 Exam Flashcard Study System can help you avoid this fate and give you a big advantage when you sit down to take the test. When you study with these flashcards, you'll get an in-depth review of each section on the Series 7 Exam.
The Regulatory Requirements section covers:
SROs
Registrations and requirements
The Evaluating the Customer's Investment Profile section covers:
Assessing a customer's investment profile
Customer-specific factors affecting the selection of securities
Portfolio or account diversification and principles of asset allocation
The Customer Accounts section covers:
Opening Customer Accounts
Maintaining Customer Accounts
Margin Accounts
The Investment Information and Recommendations section covers:
Sources of market and investment information
Investment returns
FDIC
The Orders and Transactions section covers:
Types of orders
Good delivery
Real-time trade reporting
The Professional Conduct section covers:
Regulation of insider trading
Information security
Regulatory bodies
The Primary Marketplace section covers:
Bringing New Issues to Market
Initial Public Offerings
Private Placements
The Secondary Market section covers:
Equity Securities
Debt Securities
Other Securities
The Factors Affecting Markets section covers:
Business cycle stages
Defensive Industries
Open market operations
The Market Analysis section covers:
Technical Analysis
Fundamental Analysis
Municipal Securities Analysis
The Equity Securities section covers:
Treasury stock
Dividends
Common stock and preferred stock
Wash sales
ADRs
The Debt Securities section covers:
Corporate Bonds
Municipal Securities
...and much more!
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