Series 7 Exam
After you pass the SIE Exam you will then want to take the Series 7 Exam which is for Individuals who want to enter the securities industry to sell any type of securities— generally referred to as the General Securities Representative Examination. Individuals who pass the Series 7 examination and are licensed with a FINRA firm are eligible to register to trade all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. A prerequisite to being licensed is to also pass the SIE Exam
This is a series 7 exam study guide for the series 7 exam. The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam prep packages provide all the necessary tools to help you prepare, practice, and perform on the New Series 7 Exam, General Securities Representative Examination (GS). We offer an audio approach for exam prep you can use whatever the audio lessons needed to best suit your learning style and schedule to reinforce concepts used in the financial services industry.
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This series 7 prep audio course is the most comprehensive audio study package available, the Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam, has everything you need to effectively prepare for your qualification exam in a audio format. However unless you have perfect total audio recall we recommend that you also study series 7 prep instructional textbooks, take practice quizzes and use other learning methods to solidify your knowledge of the series 7 exam. Start your exam preparation by listening to bite sized audio lessons and to schedule daily audio lessons based on your study time frame and exam date.
Here is what our audio lessons include:
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Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam |
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| Table Of Contents | ||
| Min | Sec | |
| Lesson 1 Introduction | 18 | 45 |
| Lesson 2 Section 1 Communication and Correspondence |
29 | 4 |
| Lesson 3 Section 1 Rankings, Volatility Ratings CMO’s |
31 | 22 |
| Lesson 4 Section 1 Option Communication and Disclosures |
24 | 27 |
| Lesson 5 Section 1 Securities Act of 1933 |
35 | 56 |
| Lesson 6 Section 1 Securities Exchange Act of 1934 |
40 | 14 |
| Lesson 7 Section 1 MSRB Advertising, FINRA Rules |
17 | 41 |
| Lesson 8 Section 1 FINRA Rules |
8 | 51 |
| Lesson 9 Section 1 MSRB Rules |
38 | 3 |
| Lesson 10 Section 1 Underwritings |
28 | 13 |
| Lesson 11 Section 1 Reg A+, Reg D, 144 |
18 | 35 |
| Lesson 12 Section 2 Accounts |
30 | 11 |
| Lesson 13 Section 2 IRA | 40 | 41 |
| Lesson 14 Section 2 Keogh Plans |
30 | 58 |
| Lesson 15 Section 2 SEP IRA Def Benn |
28 | 40 |
| Lesson 16 Secton 2 Acccounts |
14 | 49 |
| Lesson 17 Section 3 Know your Customer | 30 | 46 |
| Lesson 18 Section 3 Common Stocks |
38 | 6 |
| Lesson 19 Section 3 Preferred Stock |
26 | 1 |
| Lesson 20 Section 3 Special Securities |
17 | 31 |
| Lesson 21 Section 3 Fixed Income 1 |
23 | 24 |
| Lesson 22 Section 3 Fixed Income 2 |
41 | 14 |
| Lesson 23 Section 3 Fixed Income 3 |
52 | 22 |
| Lesson 24 Section 3 Stock Fundamental Analysis pt. 1, Balance Sheet pt. 1 |
31 | 22 |
| Lesson 25 Section 3 Stock Fundamental Analysis pt. 2, Balance Sheet pt. 2 |
25 | 37 |
| Lesson 26 Section 3 Stock Fundamental Analysis pt. 3, Balance Sheet pt. 3 |
36 | 54 |
| Lesson 27 Section 3 Stock Fundamental Analysis pt. 4 Income Statement pt. 1 |
33 | 55 |
| Lesson 28 Section 3 Stock Fundamental Analysis pt. 5 Income Statement pt. 2 |
32 | 54 |
| Lesson 29 Section 3 Stock Fundamental Analysis pt. 6 Income Statement pt. 3 |
28 | 25 |
| Lesson 30 Section 3 Stock Fundamental Analysis pt. 7 Cash Flow Statement pt. 1 |
17 | 9 |
| Lesson 31 Section 3 Stock Fundamental Analysis pt. 8 Cash Flow Statement pt. 2 |
23 | 38 |
| Lesson 32 Section 3 Stock Fundamental Analysis pt. 9 Discounted Cash Flow |
13 | 41 |
| Lesson 33 Section 3 Stock Fundamental Analysis pt. 10 Ratio Analysis |
14 | 45 |
| Lesson 34 Section 3 Technical Analysis |
18 | 53 |
| Lesson 35 Section 3 Macro Economic Analysis |
38 | 42 |
| Lesson 36 Section 3 Macro Economic and Portfolio Analysis |
34 | 38 |
| Lesson 37 Section 3 Municipal Debt |
41 | 48 |
| Lesson 38 Section 3 Municipal Underwriting |
38 | 5 |
| Lesson 39 Section 3 Money Market |
21 | 27 |
| Lesson 40 Section 3 Credit Default Swaps, Auction Rate Sec., Structured Products |
29 | 30 |
| Lesson 41 Section 3 Underwriting |
39 | 44 |
| Lesson 42 Section 3 Investment Company Act of 1940 |
12 | 30 |
| Lesson 43 Section 3 Mutual Funds pt. 1 |
28 | 54 |
| Lesson 44 Section 3 Mutual Funds pt. 2 |
22 | 18 |
| Lesson 45 Section 3 Mutual Funds pt. 3 |
31 | 59 |
| Lesson 46 Section 3 Unit Investment Trusts |
31 | 18 |
| Lesson 47 Section 3 Annuities |
31 | 42 |
| Lesson 48 Section 3 Life Insurance |
13 | 19 |
| Lesson 49 Section 3 Partnerships |
34 | 25 |
| Lesson 50 Section 3 Options pt. 1 |
22 | 25 |
| Lesson 51 Section 3 Options pt. 2 |
21 | 28 |
| Lesson 52 Section 3 Options pt. 3 |
18 | 18 |
| Lesson 53 Section 3 Options pt. 4 |
20 | 53 |
| Lesson 54 Section 3 Options pt. 5 |
30 | 8 |
| Lesson 55 Section 3 Options pt. 6 |
24 | 9 |
| Lesson 56 Section 3 REITS |
24 | 11 |
| Lesson 57 Section 3 ETF ETN Corp Actions |
21 | 29 |
| Lesson 58 Section 3 529 Plans and ABLE Accounts |
14 | 18 |
| Lesson 59 Section 3 Yield Curve, BOP and Currency Risk |
31 | 55 |
| Lesson 60 Section 4 Margins pt. 1 |
27 | 28 |
| Lesson 61 Section 4 Margins pt.2 |
7 | 23 |
| Lesson 62 Section 4 SMA | 15 | 18 |
| Lesson 63 Section 4 Trading Markets pt. 1 |
29 | 2 |
| Lesson 64 Section 4 Trading Markets pt. 2 |
22 | 54 |
| Lesson 65 Section 4 Trading Markets pt. 3 |
28 | 43 |
| Lesson 66 Section 4 Trading Markets pt. 4 |
35 | 9 |
| Lesson 67 Section 4 Trading Markets pt. 5 |
18 | 37 |
| Lesson 68 Section 4 FINRA Rules pt.1 |
30 | 23 |
| Lesson 69 Section 4 FINRA Rules pt.2 |
28 | 32 |
| Lesson 70 Section 4 Blue Sky Laws and Sarbanes Oxley |
23 | 26 |
| Lesson 71 Section 4 Customer Accounts Registration and AML Rules |
17 | 1 |
| Lesson 72 Review Product Specific Risks |
12 | 56 |
| Lesson 73 Review FINRA Rules | 26 | 59 |
| Lesson 74 Postscript | 1 | 11 |
| Total Length 32 hours 27 Min |