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The study tool you need for the Series 7 Exam
Your gateway to the world of finance is the Series 7 Exam: pass it and you're in for a rewarding career as a stockbroker. You don't have to study for this important exam alone--Series 7 Exam For Dummies gives you all the tips, tricks, and practice you need to obtain your required certification.
This book smartly balances three areas of study in one convenient package: the topics on the exam, how to prepare for test day and to take the exam, and practice tests. Find in this book:
How to sign up for the test, and tips to get through test day
Different study strategies
The basics of security investments, such as equity securities and municipal bonds
More advanced security topics, such as margin accounts and packaged securities
How to conduct market research, such as portfolio and securities analysis
Legal concerns: IRS, rules, and regulations
Chapter exams and online practice quizzes
With Series 7 Exam For Dummies as your study guide, you'll be ready to tackle the 125 exam questions. Whether it's a question about the underwriting process, investment companies, or income-tax implications, you'll find all the information to prepare in this resourceful book.
Your stockbroker career is just one certification away--get your copy of Series 7 Exam For Dummies (with included online practice tests) to get started on your career you've worked hard for.
Autorentext
Steven M. Rice is a partner and instructor at Empire Stockbroker Training Institute, one of the country's leading schools for securities industry training. Rice is the author of Securities Industry Essentials Exam For Dummies.
Klappentext
Prep for success on the Series 7 Exam
Get one step closer to a career in securities! Use this bestselling guide to review important securities concepts and, along the way, gain confidence that will make all the difference on test day. When you take the chapter quizzes and online practice tests that accompany this book, you not only test your knowledge but also build familiarity with the test format and question types. Add in dozens of study tips and strategies, and this book is the only one you'll need to pass the Series 7 exam.
Inside. . .
Zusammenfassung
The study tool you need for the Series 7 Exam
Your gateway to the world of finance is the Series 7 Exam: pass it and you're in for a rewarding career as a stockbroker. You don't have to study for this important exam aloneSeries 7 Exam For Dummies gives you all the tips, tricks, and practice you need to obtain your required certification.
This book smartly balances three areas of study in one convenient package: the topics on the exam, how to prepare for test day and to take the exam, and practice tests. Find in this book:
Your stockbroker career is just one certification awayget your copy of Series 7 Exam For Dummies (with included online practice tests) to get started on your career you've worked hard for.
Inhalt
Introduction 1
About This Book 1
Foolish Assumptions 2
Icons Used in This Book 2
Beyond the Book 2
Where to Go from Here 3
Part 1: Gearing Up for the Series 7 Exam 5
Chapter 1: Introducing the Series 7 Exam 7
What Is the Series 7 Exam, Anyway? 7
Profiling the Series 7 Exam-Taker 8
One's Not Enough: Tackling the Series 63 or Series 66 8
Series 63: Uniform Securities Agent State Law Exam 9
Series 66: Uniform Combined State Law Exam 9
Securing Sponsorship and Signing Up 9
Filling out an application to enroll 9
It's a date! Scheduling your exam 10
Planning ahead for special accommodations 10
Just in case: Cancelling as an option 11
Taking a Peek at the Tested Topics 12
Understanding the Exam Format and Other Exam Details 14
Exam basics 14
Ten additional trial questions 14
The computerized format and features 14
Exhibits 15
Receiving and Evaluating Your Score 16
You passed! Now what? 16
So you need a do-over: Retaking the exam 16
Chapter 2: Preparing for the Series 7 Exam 19
Courses and Training Materials: Determining the Best Way to Study 19
Back to school: Attending a prep course 20
Selecting prep material to study on your own 21
Managing Your Study Time Wisely 23
Blocking out some time to study 23
It's a plan: Getting into a study routine 23
Give it a rest: Taking short breaks 24
Staying focused from day to day 25
Devoting time to practice tests 25
Avoiding study groups 26
Staying in shape 26
Exploring Study Strategies 26
Developing Solid Test-Taking Skills 27
Read the question carefully 27
Look for phrases that lead to the topic tested 27
Work with what you have 27
Don't obsess; mark for review 28
Keep track of time 28
Master the process of elimination 29
Maintain your concentration 29
Think carefully before changing your answers 29
Use the scrap paper wisely 29
Knowing When You're Ready 30
Chapter 3: Examining and Mastering Question Types 31
Familiarizing Yourself with Question Formats 31
Working with the straight shooters: The straightforward types 32
Encountering quirky questions with qualifiers 33
Roman hell: Complex multiple choice 34
Looking at exhibits: Series 7 diagram questions 36
Shredding the Questions: Tips and Tricks 38
Focusing on key information 39
Answer me this: Picking the correct answer 39
Don't make the same mistake twice 42
Chapter 4: Surviving Test Day 43
Composing Yourself the Day Before 43
Making the Most of the Morning 44
Arriving on the Scene 44
Taking advantage of one last chance to cram 45
Signing in 45
Getting seated 45
Taking the Exam 45
Getting the Results: Drum Roll Please 46
Part 2: Mastering Basic Security Investments 47
Chapter 5: Underwriting Securities 49
Bringing New Issues to the Market 49
Starting out: What the issuer does 49
Role call: Introducing the team players 53
Agreement among underwriters 54
Selling group agreement 55
Stabilizing bids 55
Who gets what: Distributing the profits 55
Agreeing to sell your share: Western versus Eastern accounts 56
Getting the skinny on the issue and issuer: The prospectus 57
Reviewing Exemptions 59
Exempt securities 59
Exempt transactions 60
Testing Your Knowledge 62 Answers a...