Wiley Series 7 Securities Licensing Exam Review 2020 + Test Bank
John Wiley & Sons Inc (Verlag)
978-1-119-70380-8 (ISBN)
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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
The Securities Institute of America, Inc. has an 18 year track record for excellence in securities exam training. Jeffrey Van Blarcom author from The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year Learn more at : https://securitiesce.com Wiley empowers learners, researchers, universities, and corporations to achieve their goals in an ever-changing world. For over 200 years, Wiley has been helping people and organizations develop the skills and knowledge they need to succeed. Wiley develops digital education, learning, assessment, and certification solutions to help universities, businesses, and individuals move between education and employment and achieve their ambitions. By partnering with learned societies, we support researchers to communicate discoveries that make a difference. Our online scientific, technical, medical, and scholarly journals, books, and other digital content build on a 200-year heritage of quality publishing.
About the Series 7 Exam xxiii
About this Book xxvii
About the Test Bank xxviii
About the Securities Institute of America xxix
Chapter 1 Equity Securities 1
Chapter 2 Debt Securities 29
Chapter 3 Government Securities 55
Chapter 4 Municipal Securities 65
Chapter 5 The Money Market 109
Chapter 6 Economic Fundamentals 117
Chapter 7 Options 133
Chapter 8 Mutual Funds 199
Chapter 9 Variable Annuities 241
Chapter 10 Issuing Corporate Securities 257
Chapter 11 Trading Securities 279
Chapter 12 Customer Accounts 317
Chapter 13 Margin Accounts 343
Chapter 14 Retirement Plans 363
Chapter 15 Brokerage Office Procedure 385
Chapter 16 Fundamental and Technical Analysis 405
Chapter 17 Direct Participation Programs 423
Chapter 18 Customer Recommendations, Professional Conduct, and Taxation 437
Chapter 19 Securities Industry Rules and Regulations 467
Answer Keys 507
Glossary of Exam Terms 525
Index 591
Erscheinungsdatum | 01.05.2020 |
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Verlagsort | New York |
Sprache | englisch |
Maße | 215 x 277 mm |
Gewicht | 1404 g |
Themenwelt | Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung |
ISBN-10 | 1-119-70380-8 / 1119703808 |
ISBN-13 | 978-1-119-70380-8 / 9781119703808 |
Zustand | Neuware |
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