Rice - 1,001 Series 7 Exam Practice Questions For Dummies
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1,001 Series 7 Exam Practice Questions For Dummies
Published by: John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030-5774, www.wiley.com
Copyright 2015 by John Wiley & Sons, Inc., Hoboken, New Jersey
Media and software compilation copyright 2013 by John Wiley & Sons, Inc. All rights reserved.
Published simultaneously in Canada
No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except as permitted under Sections 107 or 108 of the 1976 United States Copyright Act, without the prior written permission of the Publisher. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at http://www.wiley.com/go/permissions .
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Library of Congress Control Number: 2014945056
ISBN 978-1-118-88574-1 (pbk); ISBN 978-1-118-89159-9 (ebk); ISBN 978-1-118-89164-3 (ebk);
Manufactured in the United States of America
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After earning a high score on the Series 7 exam in the mid-1990s, Steven M. 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 his duties as a registered representative, he also gained invaluable experience about securities registration rules and regulations when he worked in the firms compliance office. But it was only after Steve began tutoring others in the firm to help them pass the Series 7 exam that he found his true calling as an instructor. Shortly thereafter, Steve became a founding partner and educator in Empire Stockbroker Training Institute ( www.empirestockbroker.com ).
In addition to writing Series 7 Exam For Dummies and 1,001 Series 7 Exam Practice Questions For Dummies (published by Wiley), Steve developed and designed the Empire Stockbroker Training Institute online (Series 7, Series 6, Series 63, Series 66, and more) exams. Steve has also coauthored 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 their lucrative new careers in the securities industry. Steve continues to tutor students online through his two tutoring websites ( www.series7tutoring.com and www.insightprofessionaltraining.com ).
I dedicate this book to my beautiful wife, Melissa. Melissa is the love of my life, my joy, my inspiration, and my best friend.
There is a phenominal team at Wiley that made this book possible. I would like to start by thanking my acquisitions editor, Erin Calligan Mooney, for seeing something in me that told her that I was the right guy for the job. She is a professional through and through, and I appreciate all of her help.
A load of thanks also goes to senior project editor Tim Gallan, for his rapid-response emails, which provided guidance and helped to keep me moving in the right direction.
I would also like to thank my copy editor, Jennette ElNaggar, for making suggestions and tweaking my writing to make it more in line with For Dummies style. Her input ultimately made this book more fun to read for all of you.
Next, I would like to thank the entire composition team and the technical editor, Christopher Rohn. Although I didnt get a chance to communicate with any of you directly, this book wouldnt be possible without every one of you. I sincerely appreciate all of your hard work.
I would also like to thank my dad, Tom Rice, his wife, Maggie, my sisters Sharlene and Sharlet, and my son Jim for all of their love and support.
Publishers Acknowledgments
Acquisitions Editor: Erin Calligan Mooney
Senior Project Editor: Tim Gallan
Copy Editor: Jennette ElNaggar
Technical Editor: Christopher Rohn
Art Coordinator: Alicia B. South
Project Coordinator: Emily Benford
Illustrator: Rashell Smith
Cover Image: iStock.com/leungchopan
Chapter 1
A good place to start is at the beginning. Prior to corporations going public, they must register and have a way of distributing their securities. The Series 7 exam tests your ability to understand the registration process, the entities involved in bringing new issues to market, and types of offerings. In addition, youre expected to know which securities are exempt from Securities and Exchange Commission (SEC) registration.
As you work through this chapter, be sure you can recognize, understand, and, in some cases, calculate the following:
- The process involved with bringing new issues to market
- Who gets what (distribution of profits)
- The different types of offerings
- Exempt securities and transactions
Read the questions and answer choices carefully and make sure that you
- Watch out for words that can change the answer youre looking for, such as EXCEPT, NOT, ALWAYS, and so on.
- Recognize that theres a difference between exempt securities and exempt transactions.
- If youre not certain of the correct answer, try to eliminate any answers that you can. Doing so may make the difference between passing and failing.
134 Bringing New Issues to Market
. Which of the following types of underwriting agreements specify that any unsold securities are retained by the underwriters?
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