Wiley Series 7 Exam Review 2015 + Test Bank. The General Securities Representative Examination. Wiley FINRA

  • ID: 2785687
  • Book
  • 588 Pages
  • John Wiley and Sons Ltd
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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
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ABOUT THE SERIES 7 EXAM XXI

ABOUT THIS BOOK XXV

ABOUT THE TEST BANK XXVI

ABOUT THE SECURITIES INSTITUTE OF AMERICA XXVII

CHAPTER 1 EQUITY SECURITIES 1

CHAPTER 2 DEBT SECURITIES 29

CHAPTER 3 GOVERNMENT SECURITIES 53

CHAPTER 4 MUNICIPAL SECURITIES 63

CHAPTER 5 MONEY MARKET 105

CHAPTER 6 ECONOMIC FUNDAMENTALS 113

CHAPTER 7 OPTIONS 127

CHAPTER 8 MUTUAL FUNDS 189

CHAPTER 9 VARIABLE ANNUITIES 227

CHAPTER 10 ISSUING CORPORATE SECURITIES 241

CHAPTER 11 TRADING SECURITIES 259

CHAPTER 12 CUSTOMER ACCOUNTS 291

CHAPTER 13 MARGIN ACCOUNTS 309

CHAPTER 14 RETIREMENT PLANS 329

CHAPTER 15 BROKERAGE OFFICE PROCEDURE 349

CHAPTER 16 FUNDAMENTAL AND TECHNICAL ANALYSIS 369

CHAPTER 17 DIRECT PARTICIPATION PROGRAMS 385

CHAPTER 18 CUSTOMER RECOMMENDATIONS, PROFESSIONAL CONDUCT, AND TAXATION 397

CHAPTER 19 SECURITIES INDUSTRY RULES AND REGULATIONS 423

ANSWER KEYS 457

GLOSSARY OF EXAM TERMS 475

INDEX 541
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Jeff Van Blarcom
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