Series 7 Exam; Series 7 Study Guide Lessons and Information

This is a Quiz from Series 7 Top-Off Exam Quiz Lesson 39 Money Market

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

This is a Quiz from Series 7 Top-Off Exam Lesson 23 Fixed Income pt 3

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

This is a Series 7 Lesson 22 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over.

This is a Series 7 Lesson 22 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over.

We hope you did well on this Series 7 Lesson 22 Free Quiz

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

The five job functions of the new Series 7 General Securities Representative Exam will be:

“Seeks business for the broker-dealer through customers and potential customers”

“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”

“Opens accounts, transfers assets and maintains appropriate account records”

“Provides customers with information on investments and makes suitable recommendations”

“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”

These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.” 

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

This is a Series 7 Lesson 21 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over.

This is a Series 7 Lesson 21 Free Quiz which is covering Fixed Income. Try it and see how you do if you need help listen to the lesson over.

We hope you did well on this Series 7 Lesson 21 Free Quiz

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

The five job functions of the new Series 7 General Securities Representative Exam will be:

“Seeks business for the broker-dealer through customers and potential customers”

“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”

“Opens accounts, transfers assets and maintains appropriate account records”

“Provides customers with information on investments and makes suitable recommendations”

“Obtains and verifies customer’s purchase and sales instructions, enters orders and follows up”

These five functions of the new series 7 exam are the same or substantially similar to ones on the current Series 7 exam. A notable change from the existing Series 7 exam is the addition of evaluating customer “risk tolerance.” 

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

This is a sample of Series 7 Top-Off Exam Lesson 18 Common Stocks

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

In this Lesson we outline the many risks of Defined Benefit Plans.

These risks include

Market Risk

Interest Rate Risks

Political Risks

Management Risk

Actuary Risks

Investment Risks

and more

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

This is Series 7 Top-Off Exam Quiz Lesson 6 Securities Exchange Act of 1934

2. Which of the following is contained in a 10-K? (Select all that apply.)

3. The 10-Q is an audited financial report submitted quarterly to the Securities and Exchange Commission.

4. A ___ is filed if the company changes its name or there’s a 5% or greater change in the number of shares outstanding.

5. Which of the following is required from the broker-dealers by the Securities Exchange Act of 1934?

6. Under ___, margins are regulated from brokers to their customers.

7. Broker-dealers are allowed to disclose to customers the routing of the customers’ orders.

8. It is a totally anonymous matching of buy and sell orders.

9. Which of the following are/were physical exchanges?

10. Which of the following is true about penny stocks?

11. The broker is not required to assess a penny stock buyer’s financial situation if the buyer is a/an ___.

12. It is trading on nonpublic material information on the company.

13. This is the catchall rule that prohibits anything fraud even if it is not specifically prohibited in the Securities Exchange Act of 1934.

14. For unlawful practices under the Securities Exchange Act of 1934, suits can be brought within ___ of discovery.

15. If a control person owns a position of a stock and he wants to lock in his profit or loss, he can ___.

16. Anybody that has nonpublic material information on the company is considered an insider.

17. In the United Sates, they are exempted from the rules that prohibit insider trading.

18. Insiders can trade on the material nonpublic information once the information has been made public.

19. Only the Securities and Exchange Commission can sue insider traders.

20. The statute of limitation for insider trading is ___.

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

This is Series 7 Top-Off Exam Quiz Lesson 5 Securities Act of 1933

1. Which of the following is true about the Securities Exchange Act of 1934?

2. Which of the following is contained in a 10-K? (Select all that apply.)

3. The 10-Q is an audited financial report submitted quarterly to the Securities and Exchange Commission.

4. A ___ is filed if the company changes its name or there’s a 5% or greater change in the number of shares outstanding.

5. Which of the following is required from the broker-dealers by the Securities Exchange Act of 1934?

6. Under ___, margins are regulated from brokers to their customers.

7. Broker-dealers are allowed to disclose to customers the routing of the customers’ orders.

8. It is a totally anonymous matching of buy and sell orders.

9. Which of the following are/were physical exchanges?

10. Which of the following is true about penny stocks?

11. The broker is not required to assess a penny stock buyer’s financial situation if the buyer is a/an ___.

12. It is trading on nonpublic material information on the company.

13. This is the catchall rule that prohibits anything fraud even if it is not specifically prohibited in the Securities Exchange Act of 1934.

14. For unlawful practices under the Securities Exchange Act of 1934, suits can be brought within ___ of discovery.

15. If a control person owns a position of a stock and he wants to lock in his profit or loss, he can ___.

16. Anybody that has nonpublic material information on the company is considered an insider.

A. True

17. In the United Sates, they are exempted from the rules that prohibit insider trading.

18. Insiders can trade on the material nonpublic information once the information has been made public.

19. Only the Securities and Exchange Commission can sue insider traders.

20. The statute of limitation for insider trading is ___.

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

The Investment Company Act of 1940 Quiz, This is a Quiz from Series 7 Exam Quiz Lesson 42

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products

This is a Quiz from Series 7 Exam Quiz Lesson 55 Options Pt 6  spreads

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam

Check out our podcast for the SIE Exam

Here is a link to our other study products