What will I learn?
Securities industry professionals holding a Series 7 license are qualified to sell a broad range of securities, such as corporate securities,
municipal securities, options, direct participation programs, investment company products, and variable insurance products (permitted all
licensing requirements have been met).
Series 7 license candidates must pass FINRA’s General Securities Representative Qualification Exam, which measures the entry-level knowledge
needed to perform the critical job functions of a general securities representative. This course will deliver the content needed to successfully
complete the examination requirements.
Testable topics include:
Testable topics covered in this course include: SEC rules and regulations, FINRA, CBOE, MSRB, NYSE, NASD, and ERISA rules, communications
with the public, prospectus requirements, portfolio analysis and theory, evaluating customer’s financial information, income statements,
balance sheets, investment objectives, suitable recommendations, types of investment returns, tax considerations, equity securities,
investment company products, variable contracts, exchange-traded funds, options, debt securities, municipal securities, prohibited activities,
financial exploitation of specified adults, customer accounts, margin accounts, activity, confirmations and complaint procedures, investigations,
code of arbitration and code of procedures, sanctions and penalties.