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Rice Series 7 Exam 2023/2024

(RICE-SERIES7.AE1) / ISBN : 978-1-64459-503-9
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About This Course

Are you gearing up for a career in the financial industry? The Rice Series 7 Exam 2023/2024 course is your comprehensive guide to mastering the Series 7 examination, a crucial step toward becoming a licensed General Securities Representative. Rice Series 7 Exam 2023/2024 course is designed to assess your knowledge and skills in the financial industry, paving the way for a rewarding career. Whether you're a budding financial professional or seeking career advancement, this course will empower you with the knowledge and skills needed to excel in the securities industry.

Skills You’ll Get

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1

Introduction

  • About This Course
  • Icons Used in This Course
  • Where to Go from Here
2

Introducing the Series 7 Exam

  • What Is the Series 7 Exam, Anyway?
  • Profiling the Series 7 Exam-Taker
  • One’s Not Enough: Tackling the Series 63 or Series 66
  • Securing Sponsorship and Signing Up
  • Taking a Peek at the Tested Topics
  • Understanding the Exam Format and Other Exam Details
  • Receiving and Evaluating Your Score
3

Preparing for the Series 7 Exam

  • Courses and Training Materials: Determining the Best Way to Study
  • Outlining Your Series 7 Study Strategy
  • Managing Your Study Time Wisely
  • Exploring Study Strategies
  • Developing Solid Test-Taking Skills
  • Knowing When You’re Ready
4

Examining and Mastering Question Types

  • Familiarizing Yourself with Question Formats
  • Shredding the Questions: Tips and Tricks
5

Surviving Test Day

  • Composing Yourself the Day Before
  • Making the Most of the Morning
  • Arriving on the Scene
  • Taking the Exam
  • Getting the Results: Drum Roll Please …
6

Underwriting Securities: Bringing New Issues to Market

  • Bringing New Issues to the Market
  • Reviewing Exemptions
7

Corporate Ownership: Equity Securities

  • Beginning with the Basics: Common Stock
  • Getting Preferential Treatment: Preferred Stock
  • Securities with a Twist
8

Debt Securities: Corporate and U.S. Government Loans

  • Tackling Bond Terms, Types, and Traits
  • Making Basic Bond Price and Yield Calculations
  • Determining the Best Investment: Comparing Bonds
  • Exploring U.S. Government Securities
  • Playing It Safe: Short-Term Loans or Money Market Instruments
  • Structured Products
9

Municipal Bonds: Local Government Securities

  • General Obligation Bonds: Backing Bonds with Taxes
  • Revenue Bonds: Raising Money for Utilities and Such
  • The Primary Market: Bringing New Municipal Bonds to Market
  • Examining Other Types of Municipal Bonds on the Test
  • Don’t Forget Municipal Notes!
  • Municipal Fund Securities
  • Understanding the Taxes on Municipal Bonds
  • Following Municipal Bond Rules
  • Gathering More Municipal Bond Info
10

Borrowing Money and Securities: The Long and Short of Margin Accounts

  • Getting the Paperwork Out of the Way
  • Introducing Long and Short Margin Accounts
  • Playing by the Federal Reserve Board’s Rules
  • Opening a Margin Account: The Initial Requirements
  • Calculating Debit and Equity in Long Margin Accounts
  • Making Short Work of Calculations in Short Margin Accounts
  • Let the Good Times Roll: Handling Excess Equity
  • Looking at Limits When the Market Goes the Wrong Way
11

Packaged Securities: Open- and Closed-End Funds and Such

  • Diversifying through Management Investment Companies
  • Considering Other Investment Company Options
  • Reducing Real Estate Risk with REITs
  • Adding Annuities to a Portfolio
  • Exploring Variable Life and Variable Universal Life Insurance
  • Investment Company Rules
12

Direct Participation Programs: Partnerships

  • Searching for Identity: What DPPs Are (and Aren’t)
  • The DPP Characters: General and Limited Partners
  • Pushing through Partnership Paperwork
  • Types of DPP Offerings
  • Passive Income and Losses: Looking at Taxes on Partnerships
  • Evaluating Direct Participation Programs
13

Options: The Right to Buy or Sell at a Fixed Price

  • Brushing Up on Option Basics
  • Incorporating Standard Option Math
  • Mastering Complex Option Calculations
  • Nonequity Options
  • Gaining Additional Option Info
14

Portfolio and Securities Analysis: Examining Companies and the Market

  • Knowing Your Customer: Portfolio Analysis
  • Knowing Your Securities and Markets: Securities Analysis
15

Going to Market: Orders and Trades

  • Shopping at Primary and Secondary Markets
  • Making the Trade
  • Understanding the Role of a Broker-Dealer
  • Receiving Orders from Customers
  • Designated Market Maker and the Super Display Course (SDBK)
16

Taxes and Retirement Plans: Making Sure the IRS Gets its Share

  • Everything in Its Place: Checking Out Tax and Income Categories
  • Noting Taxes on Investments
  • Presenting Gift and Estate Tax Rules
  • Exploring Retirement Plans
17

Rules and Regulations: No Fooling Around

  • The Market Watchdogs: Securities Regulatory Organizations
  • Following Protocol When Opening Accounts
  • Trading by the Course When the Account Is Open
  • Committing Other Important Rules to Memory
18

Ten Series 7 Exam Traps to Avoid

  • Easing Up on the Studying
  • Assuming the Question’s Intent
  • Reading into the Question
  • Becoming Distracted When Others Finish
  • Not Dressing for Comfort
  • Forgetting to Breathe
  • Trying to Work Out Equations in Your Head Instead of Writing Them Down
  • Spending Too Much Time on One Question
  • Changing Your Answers for the Wrong Reasons
  • Calculating Your Final Score Prematurely
19

Ten Ways to Start Your Career Off Right

  • Win at the Numbers Game
  • Be an Apprentice
  • Do Your Homework
  • Treat the Minnow like a Whale
  • Smile When You Dial
  • When a Security Goes the Wrong Direction, Don’t Be a Stranger
  • Put In the Hours
  • Broaden Your Horizons
  • Pay Yourself First
  • Set Some Goals: The Brass Ring

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