Series 7 Exam for Dummies
by Rice, Steven M.Edition: 2nd
Format: Paperback
Pub. Date: 2012-05-08
Publisher(s): For Dummies
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Summary
Series 7 Exam For Dummies, 2nd Edition comes in response to changes in the FINRA Series 7 Exam, expected to be revised in the Fall/Winter of 2011. Packed with tips for answering questions and taking the test, Series 7 Exam For Dummies, 2nd Edition, continues to be the trusted reference for those looking to ace the exam and start their career. In addition to the updates required to keep the book in line with the new exam, this new edition provides two completely new practice tests. Series 7 Exam For Dummies, 2nd edition also includes an updated CD with four practice tests, as well as easily navigable content review to help readers check their answers.
Author Biography
Steven M. Rice is a partner and instructor at the Empire Stockbroker Training Institute, one of the largest and most successful securities training schools in the country.
Table of Contents
Introduction 1
Part I: Gearing Up for the Series 7 Exam 5
Chapter 1: So You Want to Sell Securities: Introducing the Series 7 Exam 7
Chapter 2: Preparing for the Series 7 Exam 17
Chapter 3: Examining and Mastering Question Types 29
Chapter 4: Surviving Test Day 41
Part II: Mastering Basic Security Investments 47
Chapter 5: Underwriting Securities 49
Chapter 6: Corporate Ownership: Equity Securities 61
Chapter 7: Debt Securities: Corporate and U.S. Government Loans 73
Chapter 8: Municipal Bonds:Local Government Securities 93
Part III: Delving Deeper: Security Investments with a Twist 109
Chapter 9: Borrowing Money and Securities: The Long and Short of Margin Accounts 111
Chapter 10: Delivering Diversification with Packaged Securities 127
Chapter 11: Working with Direct Participation Programs 141
Chapter 12: Options: The Right to Buy or Sell at a Fixed Price 151
Part IV: Playing Nicely: Serving Your Customers and Following the Rules 181
Chapter 13: Doing a Little Market Research: Portfolio and Securities Analysis 183
Chapter 14: Going to Market: Orders and Trades 199
Chapter 15: Making Sure the IRS Gets Its Share 213
Chapter 16: No Fooling Around: Rules and Regulations 225
Part V: Putting Your Knowledge to Good Use: A Practice Exam 247
Chapter 17: Bring It On: Practice Exam Part I 249
Chapter 18: Answers and Explanations to Practice Exam Part I 269
Chapter 19: Nothing but Net: Practice Exam Part II 287
Chapter 20: Answers and Explanations to Practice Exam Part II 309
Part VI: The Part of Tens 325
Chapter 21: Ten Series 7 Exam Traps to Avoid 327
Chapter 22: Ten Ways to Start Your Career Off Right 331
Appendix: Memorizing Important Figures and Formulas 335
Index 337
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