Search Results
55 results for "Steven M. Rice"
Sponsored Links
Comedy Week Is Happening
We Found Steven Rice
-
Special Memorandum Account (SMA) Calculations on the Series 7 Exam
The Series 7 will expect you to know the skinny on SMA’s. A special memorandum account (SMA) is a line of credit that a customer can borrow from his margin account or use to purchase more securities on [more…]
Found in: Series 7 Exam -
How to Read the Ticker Tape for the Series 7 Exam
The ticker tape is a must know for the Series 7. It is also known as the consolidated tape. For subscribers, the tape delivers real-time (within 90 seconds) reports of securities transactions as they occur [more…]
Found in: Series 7 Exam -
How to Calculate Short Margin Accounts on the Series 7 Exam
On the Series 7 exam, you may be asked to calculate the numbers in a short margin account. You have to start by setting up the formula correctly. The basic short margin account formula is as follows: [more…]
Found in: Series 7 Exam -
Memorizing Important Formulas for the Series 7 Exam
You can’t bring your notes into the Series 7 exam center, so be sure to stow the following info away in your brain and write it on the scrap paper provided [more…]
Found in: Test Prep -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
How to Calculate Profit or Loss for Investor Trading Options on the Series 7 Exam
On the Series 7, not only do you need to know the difference between opening and closing transactions, but you also have to be able to calculate the profit or loss for an investor trading options. This [more…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
How to Calculate Long Straddles and Combinations on the Series 7 Exam
Be prepared to answer questions for the Series 7 dealing with Long Straddles and Combinations. Straddles are option positions in which the investor buys a call and a put or sells a call and a put on the [more…]
Found in: Series 7 Exam -
What You Should Know About Money Supply for the Series 7 Exam
Changes in money supply can affect rates of economic growth, inflation, and foreign exchange. Knowing about monetary policy can help you for the Series 7 and predict how certain securities will fare and [more…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam -
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…]
Found in: Series 7 Exam
