Pass The 7 - 2015 · A Plain English Explanation To Help You Pass The Series 7 Exam by Walker, Robert -- Read -- Imperial Library of Trantor

Index

Chapter 1

Economic Factors

Inflation, Deflation Interest Rates Balance of Trade, Balance of Payments Yield Curves Yield Spread Economic Indicators Business Cycle Fiscal and Monetary Policy

Chapter 2

Business Information, Financial Reporting

Fundamental Analysis Technical Analysis Credit Risk Analysis

Chapter 3

Investment Risk and Suitability

Investment Risk Suitability

Chapter 4

Equity Securities

Common Stock Rights and Warrants Preferred Stock ADRs Yield vs. Total Return Ex-Rights, Cum Rights Wrap-Up

Chapter 5

Debt Securities

Form of Registration Quotes Notation Special Types of Bonds Accrued Interest Risks Corporate Bonds U.S. Government Securities Government Agency Securities Foreign Bonds CMOs, CDOs Rates & Yields vs Price Money Market Securities Municipal Securities

PACKAGED SECURITIES AND OTHER MANAGED PRODUCTS Chapter 6

Investment Companies

Advantages of Mutual Funds Types of Funds Comparisons Sales Charges vs. Expenses Buying and Selling Shares Structure and Operation Shareholder Voting Closed-End Funds Unit Investment Trusts (UITs) Face-Amount Certificates FINRA Rule. Investment Company Securities ETFs

Chapter 7

Annuities & Insurance

Types of Annuities Features of Annuities Purchasing Annuities Receiving Payments (Settlement Options) Variable Annuities: Accumulation and Annuity Units The Separate vs. General Account Life Insurance

Chapter 8

Limited Partnerships (DPPs)

GPs and LPs Suitability Offering DPP Investments Cost Recovery Methods Programs

Chapter 9

Hedge Funds and Alternative Investments

Private Equity Funds REITs Structured Products

Chapter 10

Options

Calls Synonyms Puts Options Clearing Corporation (OCC) Multiple Options Positions Hedging with Options Suitability Non-Equity Options Options Accounts Regulatory Issues Quick Facts Adjusting Contracts

CHAPTER 11

Customer Accounts

Opening Accounts Account Transfers SIPC Death of a Customer Types of Accounts Fiduciary Accounts Business Ownership Types Unincorporated Associations

CHAPTER 12

Margin Accounts

Margin Reg T Calculations Minimum Maintenance Short Positions Combined Equity Marginable

Chapter 13

Brokerage Office Procedures

Customer Mail Clearing and Settlement FINRA Rules

CHAPTER 14

Taxation

Stocks and Bonds Mutual Fund Taxation Taxation of Options Taxation of Annuities Taxation of Life Insurance Taxation of ADRs Transferred Securities Estates Gifts Trusts AMT Progressives vs. Regressive Tax Types of Income Tax Deferral Corporate Taxes Review

CHAPTER 15

Tax-Advantaged Plans

Individual Plans Plans Offered Through an Employer Saving for Education Health Savings Accounts

CHAPTER 16

Regulatory Requirements, Including Communications

FINRA Communications with the Public

Chapter 17

Professional Conduct and Ethical Concerns

Federal Securities Acts Regulatory Bodies FINRA Member Conduct Rules Code of Procedure (COP) Code of Arbitration Recent Concerns Business Continuity and Disaster Recovery Plans

CHAPTER 18

The Primary Marketplace

Securities Offerings FINRA Rules Research Analysts and Research Reports Specific Types of Securities Offerings Exemptions

CHAPTER 19

The Secondary Marketplace

First Market– NYSE and Regional Exchanges Over-The-Counter (OTC) Third Market Fourth Market Selling Short Bond Trading Types of Orders FINRA Rules Wrap-Up

Glossary

← Prev
Back
Next →

← Prev
Back
Next →