Series 7 Exam Prep

1

EquitiesCommon and preferred stock, rights, warrants, ADRs

25 min 2

Debt FundamentalsBond basics, pricing, yields, price/rate relationship

20 min 3

Additional Bond Features and RisksCall and put provisions, yield to call, ratings

18 min 4

Corporate & Government DebtT-bills, T-notes, T-bonds, agency securities, CMOs

25 min 5

Municipal Debt & Money MarketGO bonds, revenue bonds, tax treatment

22 min 6

Packaged ProductsMutual funds, ETFs, UITs, variable annuities

25 min 7

Trading MarketsExchanges, OTC, market makers, order types

30 min 8

Trade Processing and SettlementSettlement dates, good delivery, clearing

35 min 9

Fundamentals of OptionsCalls, puts, premiums, intrinsic and time value

45 min 10

Index Options and Advanced StrategiesSpreads, straddles, combinations

40 min 11

Individual Customer AccountsAccount opening, suitability, Reg BI

45 min 12

Other Account TypesMargin, fiduciary, custodial, joint accounts

45 min 13

Retirement and Education SavingsIRAs, employer plans, 529s, ABLE accounts

55 min 14

Primary MarketSecurities Act of 1933, registration, underwriting

45 min 15

Securities Exchange Act of 1934SEC, insider trading, Reg SHO, SIPC

35 min 16

Self-Regulatory Organization RulesFINRA registration, supervision, MSRB rules

45 min 17

Investment AnalysisTechnical and fundamental analysis, risk metrics

30 min 18

TaxationCapital gains, cost basis, wash sales, estate tax

45 min 19

Suitability and RecommendationsInvestment objectives, risk tolerance, allocation

25 min