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Wiley - Wiley FINRA Series 7 Exam Review 2017: The General Securities Representative Examination

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Wiley Wiley FINRA Series 7 Exam Review 2017: The General Securities Representative Examination
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Wiley FINRA Series 7 Exam Review 2017: The General Securities Representative Examination: summary, description and annotation

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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 (SROs), 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
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    Wiley FINRA Series This series includes the following titles Wiley Series 3 - photo 1
    Wiley FINRA Series

    This series includes the following titles:

    Wiley Series 3 Exam Review 2017 + Test Bank: National Commodities Futures Examination

    Wiley Series 4 Exam Review 2017 + Test Bank: The Registered Options Principal Examination

    Wiley Series 6 Exam Review 2017 + Test Bank: The Investment Company and Variable Contracts Products Representative Examination

    Wiley Series 7 Exam Review 2017 + Test Bank: The General Securities Representative Examination

    Wiley Series 9 Exam Review 2017 + Test Bank: The General Securities Sales Supervisor ExaminationOption Module

    Wiley Series 10 Exam Review 2017 + Test Bank: The General Securities Sales Supervisor ExaminationGeneral Module

    Wiley Series 24 Exam Review 2017 + Test Bank: The General Securities Principal Examination

    Wiley Series 26 Exam Review 2017 + Test Bank: The Investment Company and Variable Contracts Products Principal Examination

    Wiley Series 57 Exam Review 2017 + Test Bank: The Securities Trader Examination

    Wiley Series 62 Exam Review 2017 + Test Bank: The Corporate Securities Representative Examination

    Wiley Series 63 Exam Review 2017 + Test Bank: The Uniform Securities State Law Examination

    Wiley Series 65 Exam Review 2017 + Test Bank: The Uniform Investment Adviser Law Examination

    Wiley Series 66 Exam Review 2017 + Test Bank: The Uniform Combined State Law Examination

    Wiley Series 99 Exam Review 2017 + Test Bank: The Operations Professional Examination

    For more on this series, visit the website at www.efficientlearning.com/finra.

    WILEY SERIES 7
    EXAM REVIEW 2017
    The General Securities
    Representative Examination

    The Securities Institute of America, Inc.

    Wiley FINRA Series 7 Exam Review 2017 The General Securities Representative Examination - image 2

    Cover Design: Wiley
    Cover Image: iStockphoto.com / LuisB

    Copyright 2017 by The Securities Institute of America, Inc. All rights reserved.

    Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
    Previous editions published by The Securities Institute of America, Inc.
    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 Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the Web at www.copyright.com. 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 www.wiley.com/go/permissions.

    Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.

    For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993, or fax (317) 572-4002.

    Wiley publishes in a variety of print and electronic formats and by print-on-demand. Some material included with standard print versions of this book may not be included in e-books or in print-on-demand. If this book refers to media such as a CD or DVD that is not included in the version you purchased, you may download this material at http://booksupport.wiley.com. For more information about Wiley products, visit www.wiley.com.

    ISBN 978-1-119-37975-1 (Paperback)
    ISBN 978-1-119-40004-2 (ePDF)
    ISBN 978-1-119-40003-5 (ePub)

    About the Series 7 Exam

    Congratulations! You are on your way to becoming a registered representative licensed to conduct business in all general securities. The Series 7 exam will be presented in a 250-question, multiple-choice format. The test will be divided into two three-hour sessions. Each candidate will have a total of six hours in which to complete the exam. A score of 72 percent or higher is required to pass. Once the first three-hour 125-question session is completed, the candidate must take at least a 30-minute break and will not have the opportunity to go back and review the questions from the first session.

    The Series 7 is as much a knowledge test as it is a reading test. The writers and instructors at The Securities Institute have developed the Series 7 textbook, exam prep software, and videos to ensure that you have the knowledge required to pass the test and to make sure that you are confident in the application of the knowledge during the exam.


    Picture 3 Important Exam Note

    The Series 7 exam may use the term specialist, designated market maker (DMM), or both to describe a member of the NYSE responsible for maintaining a fair and orderly market in a security. Test-takers are advised to be aware of this and to treat the two terms as interchangeable.


    Taking the Series 7 Exam

    The Series 7 exam is presented in multiple-choice format on a touch screen computer known as the PROCTOR system. No computer skills are required, and candidates will find that the test screen works in the same way as an ordinary ATM machine. Each test is made up of 250 questions that are randomly chosen from a test bank of thousands of questions. Each Series 7 exam will have several practice questions that do not count towards the final score. The test has a time limit of six hours and is designed to provide enough time for all candidates to complete the exam. Each Series 7 exam contains questions that focus on five critical job functions performed by Series 7 registered representatives. In order to successfully complete the Series 7 exam, you will need a full understanding of the activities and knowledge required to perform these job functions as well as a complete understanding of the rules that regulate these job functions. The Series 7 exam will be made up of questions from the following areas:

    Seeks business for the broker-dealer through customers and potential customers68 questions27%
    Evaluates customers' other security holdings, financial situation and needs, financial status, tax status, and investment objectives27 questions11%
    Opens accounts, transfers assets, and maintains appropriate account records27 questions11%
    Provides customers with information on investments and makes suitable recommendations
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