1.1 Introduction
1.2 Explore Your Options
1.3 Getting Your Foot In The Door
1.4 What FINRA is Testing
1.5 Series 7 Exam Format
1.6 Important Series 7 Terms
1.7 Calculating Simple and Compound Interest
1.8 The Time Value Of Money
1.9 Basic Statistical Concepts
1.10 Covariance
1.2 Explore Your Options
1.3 Getting Your Foot In The Door
1.4 What FINRA is Testing
1.5 Series 7 Exam Format
1.6 Important Series 7 Terms
1.7 Calculating Simple and Compound Interest
1.8 The Time Value Of Money
1.9 Basic Statistical Concepts
1.10 Covariance
2.1 Introduction
2.2 Investment Risk (Part 1 of 2)
2.3 Investment Risk (Part 2 of 2)
2.4 Stock Classification Risks
2.5 Income and Taxation
2.6 Foreign Securities and Taxation
2.7 Wash Sales and Substantially Identical Securities
2.2 Investment Risk (Part 1 of 2)
2.3 Investment Risk (Part 2 of 2)
2.4 Stock Classification Risks
2.5 Income and Taxation
2.6 Foreign Securities and Taxation
2.7 Wash Sales and Substantially Identical Securities
3.1 Introduction
3.2 Equity Terminology
3.3 Common stock
3.4 Types of Stock
3.5 Dividends and Stock Splits
3.6 Preferred Stock
3.7 Other Equities
3.8 Determining Gains and Losses
3.9 Shares from Conversion
3.10 Direct Participation Programs (DPPs)
3.2 Equity Terminology
3.3 Common stock
3.4 Types of Stock
3.5 Dividends and Stock Splits
3.6 Preferred Stock
3.7 Other Equities
3.8 Determining Gains and Losses
3.9 Shares from Conversion
3.10 Direct Participation Programs (DPPs)
4.1 Introduction
4.2 Corporate Bonds
4.3 Retiring Corporate Bonds
4.4 Bond Ratings
4.5 Government Debt
4.6 Treasury Bonds
4.7 Agency Bonds
4.8 Treasury STRIPS
4.9 Collateralized Mortgage Obligations (CMOs)
4.10 Yield
4.11 Computing T-bill Discount Yield
4.12 Accrued Interest
4.2 Corporate Bonds
4.3 Retiring Corporate Bonds
4.4 Bond Ratings
4.5 Government Debt
4.6 Treasury Bonds
4.7 Agency Bonds
4.8 Treasury STRIPS
4.9 Collateralized Mortgage Obligations (CMOs)
4.10 Yield
4.11 Computing T-bill Discount Yield
4.12 Accrued Interest
5.1 Introduction
5.2 Issuing Munis
5.3 Muni Pricing
5.4 Muni Taxes
5.5 Determining Muni Suitability For Clients
5.6 Long Term Munis
5.7 Short Term Munis
5.8 Special Munis
5.2 Issuing Munis
5.3 Muni Pricing
5.4 Muni Taxes
5.5 Determining Muni Suitability For Clients
5.6 Long Term Munis
5.7 Short Term Munis
5.8 Special Munis
6.1 Introduction
6.2 Investment Companies
6.3 Unit investment trusts (UITs)
6.4 Other Types of Investment Companies
6.5 Compliance
6.6 Net Asset Value (NAV)
6.7 Dollar Cost Averaging
6.8 Mutual Fund Management
6.9 Types of Mutual Funds
6.10 Mutual Fund Distributions
6.11 Variable Annuities
6.12 Purchasing Variable Annuities
6.13 Valuing a Variable Annuity Contract
6.14 Real Estate Investment Trusts (REITS)
6.2 Investment Companies
6.3 Unit investment trusts (UITs)
6.4 Other Types of Investment Companies
6.5 Compliance
6.6 Net Asset Value (NAV)
6.7 Dollar Cost Averaging
6.8 Mutual Fund Management
6.9 Types of Mutual Funds
6.10 Mutual Fund Distributions
6.11 Variable Annuities
6.12 Purchasing Variable Annuities
6.13 Valuing a Variable Annuity Contract
6.14 Real Estate Investment Trusts (REITS)
7.1 Introduction
7.2 Individual Retirement Accounts (IRAs)
7.3 Types of Employee-Sponsored Plans
7.4 Other Retirement Plans
7.5 Federal Estate and Gift Tax
7.6 Custodial Accounts
7.2 Individual Retirement Accounts (IRAs)
7.3 Types of Employee-Sponsored Plans
7.4 Other Retirement Plans
7.5 Federal Estate and Gift Tax
7.6 Custodial Accounts
8.1 Introduction
8.2 What Are Options?
8.3 Trading Options
8.4 Calls and Puts
8.5 Closing Transactions
8.6 When To Exercise An Option
8.7 Graphical Interpretations for Calls
8.8 Graphical Interpretations for Puts
8.9 Option Positions
8.10 Option Styles
8.11 Spread Option Strategies
8.12 Straddle Option Strategies
8.13 Other Options Strategies
8.14 Long Term Equity Anticipation Securities (LEAPS)
8.15 Index Options
8.16 Other Options
8.17 Tax Treatment of Options
8.2 What Are Options?
8.3 Trading Options
8.4 Calls and Puts
8.5 Closing Transactions
8.6 When To Exercise An Option
8.7 Graphical Interpretations for Calls
8.8 Graphical Interpretations for Puts
8.9 Option Positions
8.10 Option Styles
8.11 Spread Option Strategies
8.12 Straddle Option Strategies
8.13 Other Options Strategies
8.14 Long Term Equity Anticipation Securities (LEAPS)
8.15 Index Options
8.16 Other Options
8.17 Tax Treatment of Options
9.1 Introduction
9.2 Self-Regulatory Organization (SROs)
9.3 Prohibited Activities
9.4 Rules Regulating SROs
9.5 Primary Market
9.6 Registration
9.7 Blue Sky Laws and the Securities Act of 1933
9.8 Regulation A & D
9.9 Secondary Offerings and Shelf Distributions
9.10 Primary Market for Bonds
9.11 The Securities Exchange Act of 1934
9.12 Over the Counter (OTC) Markets
9.13 The Currency Market
9.14 The Securities Investor Protection Corp. (SIPC)
9.15 The Business Cycle
9.16 Economic Indicators (Part 1 of 2)
9.17 Economic Indicators (Part 2 of 2)
9.18 Keynesian Theory
9.19 Monetarist Theory
9.20 The Federal Reserve Board
9.21 International Economic Factors
9.2 Self-Regulatory Organization (SROs)
9.3 Prohibited Activities
9.4 Rules Regulating SROs
9.5 Primary Market
9.6 Registration
9.7 Blue Sky Laws and the Securities Act of 1933
9.8 Regulation A & D
9.9 Secondary Offerings and Shelf Distributions
9.10 Primary Market for Bonds
9.11 The Securities Exchange Act of 1934
9.12 Over the Counter (OTC) Markets
9.13 The Currency Market
9.14 The Securities Investor Protection Corp. (SIPC)
9.15 The Business Cycle
9.16 Economic Indicators (Part 1 of 2)
9.17 Economic Indicators (Part 2 of 2)
9.18 Keynesian Theory
9.19 Monetarist Theory
9.20 The Federal Reserve Board
9.21 International Economic Factors
10.1 Introduction
10.2 Types of Brokerage Accounts
10.3 Other Types of Accounts
10.4 The Prudent Man Rule
10.5 Opening a Brokerage Account
10.6 Opening a Retirement Account
10.7 Important Account Rules
10.8 Closing Accounts
10.9 Margin Accounts
10.10 Managing Margin Accounts
10.11 Margin Account Calculations
10.12 Stock Price Changes and Margin Requirements
10.13 Purchasing Additional Shares On Margin
10.14 Special Memorandum Account
10.15 Short Sales
10.16 Market Value of a Short Position
10.17 Plus Tick Rule
10.2 Types of Brokerage Accounts
10.3 Other Types of Accounts
10.4 The Prudent Man Rule
10.5 Opening a Brokerage Account
10.6 Opening a Retirement Account
10.7 Important Account Rules
10.8 Closing Accounts
10.9 Margin Accounts
10.10 Managing Margin Accounts
10.11 Margin Account Calculations
10.12 Stock Price Changes and Margin Requirements
10.13 Purchasing Additional Shares On Margin
10.14 Special Memorandum Account
10.15 Short Sales
10.16 Market Value of a Short Position
10.17 Plus Tick Rule
11.1 Introduction
11.2 Client Income Statement
11.3 Client Balance Sheet
11.4 Financial Considerations
11.5 Determining A Client's Risk Tolerance
11.6 Questions To Ask Your Client
11.7 Investment Objectives
11.2 Client Income Statement
11.3 Client Balance Sheet
11.4 Financial Considerations
11.5 Determining A Client's Risk Tolerance
11.6 Questions To Ask Your Client
11.7 Investment Objectives
12.1 Introduction
12.2 Diversification
12.3 Capital Asset Pricing Theory
12.4 Security Market Line
12.5 Capital Market Line (CML)
12.6 Securities Analysis
12.7 Market Indexes and Averages
12.8 Technical vs. Fundamental Analysis
12.9 Technical Analysis
12.10 Fundamental Analysis
12.11 LIFO and FIFO Valuation of Inventory
12.12 Depreciation
12.13 Ratio Analysis
12.14 Mutual Fund Analysis
12.15 Municipal Bond Analysis
12.16 Revenue Bond Analysis
12.17 Sources of Information
12.2 Diversification
12.3 Capital Asset Pricing Theory
12.4 Security Market Line
12.5 Capital Market Line (CML)
12.6 Securities Analysis
12.7 Market Indexes and Averages
12.8 Technical vs. Fundamental Analysis
12.9 Technical Analysis
12.10 Fundamental Analysis
12.11 LIFO and FIFO Valuation of Inventory
12.12 Depreciation
12.13 Ratio Analysis
12.14 Mutual Fund Analysis
12.15 Municipal Bond Analysis
12.16 Revenue Bond Analysis
12.17 Sources of Information
13.1 Introduction
13.2 Types of Securities Orders
13.3 Filling and Confirming Orders
13.4 Executing Trades
13.5 Settling Transactions In The Secondary Market
13.6 Settlement Rules
13.7 Record Keeping
13.2 Types of Securities Orders
13.3 Filling and Confirming Orders
13.4 Executing Trades
13.5 Settling Transactions In The Secondary Market
13.6 Settlement Rules
13.7 Record Keeping
14.1 Introduction
14.2 Requirements for Registration
14.3 Reporting Outside Business Activities
14.4 Investment Advisors
14.5 Exceptions to IA Registration
14.6 Registering As An Investment Advisor
14.7 Standards for Public Communications
14.8 Options Disclosure Document
14.9 Municipal Security Advertising Standards
14.10 Investment Company Product Advertising
14.2 Requirements for Registration
14.3 Reporting Outside Business Activities
14.4 Investment Advisors
14.5 Exceptions to IA Registration
14.6 Registering As An Investment Advisor
14.7 Standards for Public Communications
14.8 Options Disclosure Document
14.9 Municipal Security Advertising Standards
14.10 Investment Company Product Advertising
