Steven M. Rice - Series 7 Exam For Dummies

Series 7 Exam For Dummies, Premier 2nd Edition with CD

by Steven M. Rice

Series 7 Exam For Dummies, Premier 2nd Edition with CD

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Copyright 2013 by John Wiley & Sons, Inc., Hoboken, New Jersey

Published simultaneously in Canada

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Library of Congress Control Number: 2012940028

ISBN 978-1-118-11757-6 (pbk); ISBN 978-1-118-26259-7 (ebk); ISBN 978-1-118-22443-4 (ebk); ISBN 978-1-118-23774-8 (ebk)

Manufactured in the United States of America

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About the Author

After earning a high score on the Series 7 exam in the mid 90s, Steve Rice began his career as a stockbroker for a broker dealership with offices in Nassau County, Long Island, and in New York City. In addition to performing his duties as a registered representative, he gained invaluable experience with securities registration rules and regulations when he worked in the firms compliance office. But not until Steve began tutoring others in the firm to help them pass the Series 7 did he find his true calling as an instructor. Shortly thereafter, Steve became a founding partner and educator in Empire Stockbroker Training Institute ( www.empirestockbroker.com ), which has grown into one of the largest and most successful securities training schools in the country.

In addition to writing Series 7 Exam For Dummies, Steve developed and designed the Empire Stockbroker Training Institute online exams (Series 7, Series 6, Series 63, Series 66, and more). Steve has also co-authored a complete library of securities training manuals for classroom use and for home study, including the Series 4, Series 6, Series 7, Series 11, Series 24, Series 63, Series 65, and Series 66. Steves popular and highly acclaimed classes, online courses, and training manuals have helped tens of thousands of people achieve their goals and begin lucrative new careers in the securities industry.

Steve lives on Long Island, NY, with his wife, Melissa Kollen-Rice. Melissa is a real estate attorney, author of the book Buying Real Estate Foreclosures, and owner/instructor of L.I. Real Estate Training school.

Dedication

I dedicate this book to my beautiful wife, Melissa. Melissa is the love of my life, my inspiration, and my best friend.

Authors Acknowledgments

A fantastic team over at John Wiley & Sons, Inc. made this book possible. Id like to start by thanking my acquisitions editor, Michael Lewis, for seeing something in me that told him that I was the right man for the job. I believe that he may be one of the few people in this world who sleeps as little as my wife and I. Michaels rapid responses to my e-mails during the days, evenings, and weekends were quite comforting as I was beginning this journey.

Many thanks also go to my project editors, Linda Brandon and Chrissy Guthrie, for their friendly little e-mails that helped keep me on track when I was wearing thin. Their guidance and critiques were truly invaluable in the writing of this book. They were always there when I needed them and are professionals all the way.

I would also like to thank my copy editors, Christy Pingleton and Danielle Voirol, for helping me to become a better writer. Their suggestions on how to make the book more Dummies style ultimately made this book much more fun to read.

Next, Id like to thank the technical editors, Christopher Rohn and William Addiss, for their attention to detail and thoughtful contributions. Viewing the final product, I can tell you one thing: They are the best.

During this project, I wasnt able to put in my normal 60-hour week at my school. Id like to thank my partner, Rueben Martinez, my office manager (and sister) Sharlene Wegner, and the rest of the staff at Empire Stockbroker Training Institute for picking up the slack so perfectly while I was out.

This book would have been much more difficult to write without my dad, Tom Rice. He has always been my role model, inspiring me as to how I want to live the rest of my life. I have the best dad a person could ask for, and Im extremely blessed to have him, his wife Maggie, and my other sister Sharlet in my corner.

Finally, I want to thank my wonderful wife, Melissa. Theres no way I could have finished this book if not for her. As a lawyer and real estate school owner, shes the busiest person I know. But as busy as she is, she always makes me her top priority. Melissa was with me every day, every step of the way. She not only read every page of this book several times but also pre-edited and made great suggestions. Her undying love and support helped me through the toughest times. I am eternally grateful, and I love her forever.