Series 7 Study Guide Lesson 1

This is the Series 7 Study Guide lesson 1 audio lessons for the FINRA Series 7 Exam, Third Edition. In this Series 7 Study Guide Lesson 1, we’re going to be talking about an overview of the Series 7 Examination, what it entails, what subjects you need to study, and just general information about the Series 7 Exam. This is basically the exam that you need to take in order to work in any area of sales in the securities industry. This is a general exam, and it’s sort of the beginning exam for your financial career working for a broker-dealer or another financial institution. The basic outline of this course is to try to cover all the topics in a timely manner so that you have a good overview for studying for the Series 7 Examination.

In order to take the examination, you need to be sponsored by a FINRA member firm or other applicable self-regulatory member firm. You cannot just go and take the Series 7 Examination on your own. You basically need to be hired by a FINRA firm, and as part of your employment, they may expect you to pass the Series 7 Examination. That’s the way it was. When I went to work in the brokerage industry so many years ago, I was hired; I was expected to pass the Series 7 Examination. They gave me a couple of months to study for it. I took the examination, and if I had not passed, I would've been fired immediately. Actually, I think they gave me two tries to pass the examination, and that point in time, they wouldn’t have kept me. So basically, you need to have a firm that is sponsoring you to take the examination.......

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