Series 7 Exam

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Money Market Instrument Questions on the Series 7 Exam

Every Series 7 exam includes a few questions on money market instruments. Money market instruments are relatively safe short-term loans that can be issued by corporations, banks, the U.S. government, and [more…]

What You Need to Know about the Securities Acts for the Series 7 Exam

Before taking the Series 7 exam, you will need to know about the role of the issuer as defined in the federal laws that govern the financial markets.

A lot of things need to happen before securities hit [more…]

Series 7 Exam: Firms that Employ Registered Reps

On the Series 7 exam, there are questions about registered reps and the kinds of firms that employ them. Registered reps can work for any of these kinds of firms: [more…]

How to Calculate Distribution of Profits for the Series 7 Exam

To be successful on the Series 7 exam, you will need to understand the distribution of profits. When larger issues come to market, the lead underwriter often has to form a syndicate to help sell the securities [more…]

What You Need to Know about Securities Registration for the Series 7 Exam

Unless the securities are exempt from registration, the issuer has to go through a registration process with the SEC. The Series 7 tests you on the following items that relate to securities registration [more…]

The Prospectus on the Series 7 Exam: The Issue and the Issuer

While preparing for the Series 7 exam, it’s important to understand the role of the Prospectus and what happens when companies issue securities. These issues will be tested and are important in understanding [more…]

Exempt Securities and Transaction Information for the Series 7 Exam

As the Series 7 exam will expect you to know, certain securities are exempt from registration because of either the type of security or the type of transaction involved. You may find that securities that [more…]

Common Stock Voting Rights Questions for the Series 7 Exam

The Series 7 exam will ask you about corporations that issue common stock (as well as other securities) to raise business capital. As an equity security, common stock represents ownership of the issuing [more…]

Share Categorization Questions on the Series 7 Exam

All publicly held corporations have a certain quantity of shares that they can sell based on their corporate charter. The Series 7 exam covers how these shares are broken down into a few categories depending [more…]

Questions about Splitting Common Stock on the Series 7 Exam

You may ask yourself, “Why would a company split its stock?” The Series 7 may also ask you about this choice. The obvious answer is that the company wants to make the market price of the security more [more…]

Series 7 Exam: Sharing Corporate Profits Through Dividends

The Series 7 exam expects you to know the forms of dividends an investor can receive and how the dividends affect both the market price of the stock and an investor’s position. If a corporation is profitable [more…]

What You Need to Know about Preferred Stock for the Series 7 Exam

You will need to understand preferred stock for the Series 7 exam. Equity securities represent shares of ownership in a company, and debt securities represent debt. Preferred stock is an equity security [more…]

Special Securities Questions on the Series 7 Exam

As you will need to know for the Series 7, some securities fall outside the boundaries of the more normal common and preferred stock, but they still involve ownership in a company or the opportunity to [more…]

Series 7 Exam: Types of Bond Certificates

To make your life interesting while preparing for the Series 7 exam, bond certificates can be delivered in different forms. Even though some types of bonds are no longer being issued, you’ll still be tested [more…]

What You Need to Know About Secured and Unsecured Bonds for the Series 7 Exam

For Series 7 purposes, you will need to understand secured and unsecured bonds. Assume that bonds backed by collateral are considered safer for the investor. [more…]

How to Calculate Bond Prices and Yields on the Series 7 Exam

The Series 7 exam tests your knowledge of bond prices, bond yields, and how to calculate them. You will also need to know how accrued interest can affect how much customers have to pay for the bond. [more…]

How to Calculate Accrued Interest for the Series 7 Exam

When taking the Series 7 exam, you need to be able to calculate the number of days of accrued interest that the buyer owes the seller. Although you can calculate the accrued interest with a few different [more…]

How to Determine the Best Investment on the Series 7 Exam

As you grind your way through Series 7 exam questions, you may be asked to determine the best investment for a particular investor. You need to carefully look at the question for clues to help you choose [more…]

Series 7 Exam: Types of U.S. Government Securities

On the Series 7 exam, you need to know the basic types of U.S. government securities, their initial maturities, and certain characteristics. As you may already know, the U.S. government also issues bonds [more…]

Collateralized Mortgage Obligations Questions on the Series 7 Exam

CMOs, or collateralized mortgage obligations, are annoying little (or big) debt securities backed by pools of mortgages and are covered on the Series 7. What makes matters worse is that you probably won’t [more…]

Series 7 Exam: How to Select the Right Account for Your Clients

Besides knowing a customer’s investment profile, you need a basic understanding of the types of accounts for the Series 7 exam. Investors can open many different types of accounts through a broker-dealer [more…]

How to Analyze General Obligation Bonds on the Series 7 Exam

The Series 7 exam tests your ability to analyze different types of municipal securities and help a customer make a decision that best suits her needs. Because they’re backed by taxes rather than sales [more…]

What You Should Know About Revenue Bonds for the Series 7 Exam

You will need to become familiar with Revenue Bonds for the Series 7 Exam. Unlike tax-backed bonds, revenue bonds are issued to fund municipal facilities that’ll generate enough income to support the bonds [more…]

Municipal Bond and Note Questions on the Series 7 Exam

The Series 7 will expect you to have a good grasp on types of municipal bonds and notes. Along with standard revenue and GO bonds, you’re required to know the specifics of the following types of municipal [more…]

How to Calculate the Numbers in Long Margin Accounts on the Series 7 Exam

The Series 7 asks you to calculate the numbers in a long margin account, which isn’t too difficult if you take it one step at a time. The basic long margin account formula is as follows: [more…]

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