| About The Series 7 Exam |
|
xxiii | |
| About This Book |
|
xxvii | |
| About The Test Bank |
|
xxviii | |
| About The Securities Institute Of America |
|
xxix | |
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Chapter 1 Equity Securities |
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1 | (28) |
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1 | (1) |
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2 | (1) |
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2 | (12) |
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14 | (8) |
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22 | (1) |
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Functions of the Custodian Bank Issuing ADRs |
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23 | (1) |
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Real Estate Investment Trusts (REITs) |
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23 | (1) |
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24 | (1) |
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25 | (4) |
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Chapter 2 Debt Securities |
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29 | (26) |
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29 | (1) |
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30 | (1) |
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31 | (1) |
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31 | (1) |
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32 | (1) |
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32 | (4) |
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36 | (1) |
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37 | (1) |
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37 | (1) |
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38 | (3) |
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Converting Bonds into Common Stock |
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41 | (1) |
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Advantages of Issuing Convertible Bonds |
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42 | (1) |
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Disadvantages of Issuing Convertible Bonds |
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42 | (1) |
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Convertible Bonds and Stock Splits |
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42 | (1) |
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Reverse Convertible Securities |
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42 | (1) |
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43 | (1) |
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The Trust Indenture Act of 1939 |
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43 | (1) |
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43 | (1) |
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44 | (1) |
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44 | (2) |
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Collateralized Mortgage Obligation (CMO) |
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46 | (1) |
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47 | (1) |
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47 | (2) |
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49 | (1) |
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Exchange-Traded Notes (ETNs) |
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49 | (1) |
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50 | (1) |
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51 | (4) |
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Chapter 3 Government Securities |
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55 | (10) |
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55 | (1) |
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56 | (1) |
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Treasury Bills, Notes, and Bonds |
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56 | (1) |
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Treasury Bond and Note Pricing |
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57 | (1) |
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58 | (1) |
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58 | (1) |
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Treasury Inflation-Protected Securities (TIPS) |
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59 | (1) |
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59 | (1) |
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Government National Mortgage Association (GNMA) |
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59 | (1) |
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Federal National Mortgage Association (FNMA) |
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60 | (1) |
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Federal Home Loan Mortgage Corporation (FHLMC) |
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60 | (1) |
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Federal Farm Credit System (FFCS) |
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60 | (1) |
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61 | (2) |
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63 | (2) |
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Chapter 4 Municipal Securities |
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65 | (44) |
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65 | (1) |
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66 | (4) |
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Issuing Municipal Securities |
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70 | (1) |
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70 | (1) |
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71 | (1) |
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72 | (1) |
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Submitting the Syndicate Bid |
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73 | (1) |
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Determining the Reoffering Yield |
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73 | (1) |
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74 | (1) |
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Underwriter's Compensation |
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74 | (2) |
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76 | (1) |
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Allocation Municipal Bond Orders |
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76 | (1) |
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77 | (1) |
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When Issued Confirmations |
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78 | (1) |
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78 | (1) |
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Other Types of Municipal Underwritings |
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79 | (1) |
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Syndicate Operation and Settlement |
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79 | (1) |
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80 | (1) |
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81 | (1) |
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81 | (1) |
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Potential Conflicts of Interest for Municipal Bond Underwriters |
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82 | (1) |
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Acting as a Financial Adviser to the Issuer |
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82 | (1) |
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Information Obtained While Acting as a Fiduciary |
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82 | (1) |
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Acting as a Financial Adviser and an Underwriter |
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83 | (1) |
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83 | (2) |
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85 | (1) |
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85 | (1) |
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86 | (1) |
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86 | (1) |
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Executing a Customer's Municipal Bond Orders |
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87 | (1) |
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88 | (1) |
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89 | (1) |
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Sources of Municipal Bond Market Information |
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89 | (1) |
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Recommending Municipal Bonds |
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90 | (1) |
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Taxation of Municipal Bonds |
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90 | (1) |
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91 | (1) |
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Purchasing a Municipal Bond Issued in the State in which the Investor Resides |
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91 | (1) |
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92 | (1) |
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Original Issue Discount (OID) and Secondary Market Discounts |
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92 | (1) |
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Amortization of a Municipal Bond's Premium |
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92 | (1) |
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93 | (1) |
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Analyzing Municipal Bonds |
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93 | (1) |
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Analyzing General Obligation Bonds |
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93 | (1) |
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94 | (1) |
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95 | (1) |
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95 | (1) |
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Determining Property Taxes |
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96 | (1) |
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Important Financial Ratios for General Obligation Bonds |
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96 | (1) |
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97 | (1) |
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97 | (1) |
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Municipal Fund Securities |
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98 | (1) |
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Municipal Securities Rulemaking Board (MSRB) |
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99 | (4) |
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103 | (6) |
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Chapter 5 The Money Market |
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109 | (8) |
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109 | (1) |
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Corporate Money Market Instruments |
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109 | (2) |
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Government Money Market Instruments |
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111 | (1) |
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Municipal Money Market Instruments |
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112 | (1) |
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International Money Market Instruments |
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112 | (1) |
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112 | (3) |
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115 | (2) |
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Chapter 6 Economic Fundamentals |
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117 | (16) |
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Gross Domestic Product (GDP) |
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117 | (2) |
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119 | (1) |
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119 | (1) |
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119 | (2) |
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Schools of Economic Thought |
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121 | (1) |
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122 | (1) |
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Tools of The Federal Reserve Board |
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122 | (3) |
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125 | (1) |
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Consumer Price Index (CPI) |
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126 | (1) |
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126 | (1) |
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126 | (1) |
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International Monetary Considerations |
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127 | (1) |
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127 | (2) |
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129 | (4) |
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133 | (66) |
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133 | (1) |
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134 | (1) |
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134 | (1) |
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134 | (1) |
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Possible Outcomes for an Option |
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135 | (1) |
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Characteristics of All Options |
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136 | (1) |
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Managing an Option Position |
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136 | (1) |
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137 | (1) |
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138 | (2) |
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140 | (1) |
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141 | (2) |
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143 | (1) |
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143 | (1) |
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144 | (1) |
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Intrinsic Value and Time Value |
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144 | (1) |
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145 | (1) |
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Long Stock Long Puts/Married Puts |
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145 | (2) |
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Long Stock Short Calls/Covered Calls |
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147 | (1) |
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Maximum Gain Long Stock Short Calls |
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148 | (1) |
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Maximum Loss Long Stock Short Calls |
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149 | (1) |
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149 | (1) |
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Maximum Gain Short Stock Long Calls |
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150 | (1) |
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Maximum Loss Short Stock Long Call |
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151 | (1) |
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151 | (1) |
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Maximum Gain Short Stock Short Puts |
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152 | (1) |
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Maximum Loss Short Stock Short Puts |
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153 | (1) |
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Multiple Option Positions and Strategies |
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154 | (1) |
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154 | (2) |
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156 | (2) |
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158 | (11) |
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169 | (1) |
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Using a T Chart to Evaluate Option Positions |
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170 | (4) |
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174 | (2) |
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176 | (1) |
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176 | (2) |
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178 | (1) |
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178 | (2) |
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The Option Clearing Corporation |
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180 | (1) |
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181 | (1) |
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The Chicago Board Option Exchange |
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181 | (2) |
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Opening and Closing Option Prices |
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183 | (1) |
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183 | (1) |
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184 | (1) |
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American vs. European Exercise |
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184 | (1) |
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Market Volatility Options/VIX |
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185 | (1) |
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185 | (1) |
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186 | (1) |
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Position and Exercise Limits |
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186 | (1) |
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Stock Splits and Stock Dividends |
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187 | (1) |
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188 | (1) |
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Closing an Option Position |
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188 | (1) |
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188 | (1) |
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188 | (1) |
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188 | (1) |
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189 | (1) |
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189 | (1) |
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189 | (2) |
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191 | (8) |
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199 | (42) |
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Investment Company Philosophy |
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199 | (1) |
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Types of Investment Companies |
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200 | (1) |
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Open-End vs. Closed-End Funds |
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201 | (1) |
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Diversified vs. Nondiversified |
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202 | (1) |
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Investment Company Registration |
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203 | (2) |
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Investment Company Components |
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205 | (2) |
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207 | (1) |
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207 | (1) |
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Distribution of No-Load Mutual Fund Shares |
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208 | (1) |
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Distribution of Mutual Fund Shares |
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208 | (1) |
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208 | (2) |
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Characteristics of Open-End Mutual Fund Shares |
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210 | (1) |
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Mutual Fund Investment Objectives |
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210 | (2) |
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212 | (1) |
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212 | (1) |
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Floating Rate Bank Loan Funds |
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213 | (1) |
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213 | (2) |
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Valuing Mutual Fund Shares |
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215 | (1) |
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216 | (1) |
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216 | (3) |
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Calculating a Mutual Fund's Sales Charge Percentage |
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219 | (1) |
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Finding the Public Offering Price |
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219 | (1) |
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220 | (1) |
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220 | (1) |
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221 | (1) |
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Backdating a Letter of Intent |
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221 | (1) |
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221 | (1) |
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222 | (1) |
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Automatic Reinvestment of Distributions |
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222 | (1) |
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Other Mutual Fund Features |
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223 | (4) |
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Cost Base of Multiple Purchases |
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227 | (1) |
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Purchasing Mutual Fund Shares |
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228 | (2) |
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230 | (1) |
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231 | (1) |
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231 | (1) |
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Recommending Mutual Funds |
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232 | (3) |
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235 | (6) |
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Chapter 9 Variable Annuities |
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241 | (16) |
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241 | (3) |
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244 | (1) |
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Recommending Variable Annuities |
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245 | (1) |
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246 | (1) |
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247 | (1) |
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247 | (1) |
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247 | (2) |
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Factors Affecting the Size of the Annuity Payment |
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249 | (1) |
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The Assumed Interest Rate (AIR) |
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249 | (1) |
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250 | (1) |
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250 | (1) |
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250 | (1) |
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251 | (1) |
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251 | (2) |
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253 | (4) |
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Chapter 10 Issuing Corporate Securities |
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257 | (20) |
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The Securities Act of 1933 |
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257 | (1) |
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258 | (1) |
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258 | (1) |
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Prospectus to Be Provided to Aftermarket Purchasers |
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259 | (1) |
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259 | (1) |
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260 | (1) |
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260 | (1) |
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Free Riding and Withholding/FINRA Rule 5130 |
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260 | (2) |
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Underwriting Corporate Securities |
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262 | (1) |
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Types of Underwriting Commitments |
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262 | (2) |
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264 | (1) |
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264 | (1) |
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The Underwiting Syndicate |
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265 | (1) |
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265 | (1) |
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Underwriter's Compensation |
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265 | (2) |
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Private Placements/Regulation D Offerings |
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267 | (1) |
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268 | (1) |
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Private Investment in a Public Equity (PIPE) |
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269 | (1) |
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270 | (1) |
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270 | (1) |
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Rule 147 Intrastate Offering |
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271 | (2) |
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273 | (4) |
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Chapter 11 Trading Securities |
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277 | (34) |
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277 | (4) |
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281 | (1) |
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Priority of Exchange Orders |
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281 | (1) |
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The Role of The Designated Market Maker/DMM |
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282 | (1) |
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The DMM Acting as a Principal |
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282 | (1) |
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The Designated Market Maker/DMM Acting as an Agent |
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283 | (1) |
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284 | (1) |
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285 | (1) |
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Adjustments for Stock Splits |
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285 | (1) |
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286 | (1) |
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287 | (1) |
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287 | (1) |
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287 | (1) |
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Super Display Book (SDBK) |
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287 | (1) |
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288 | (1) |
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Rule 200 Definitions and Order Marking |
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288 | (2) |
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Rule 203 Security Borrowing and Delivery Requirements |
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290 | (1) |
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290 | (2) |
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Listing Requirements for the NYSE |
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292 | (1) |
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292 | (1) |
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292 | (1) |
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Nasdaq Subscription Levels |
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293 | (1) |
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293 | (1) |
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294 | (1) |
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Automated Confirmation System (ACT)/Trade Reporting Facility (TRF) |
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295 | (1) |
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295 | (1) |
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The Nasdaq Market Center Execution System (NMCES) |
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295 | (1) |
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295 | (1) |
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296 | (1) |
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297 | (1) |
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297 | (1) |
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297 | (1) |
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Reading the Consolidated Tape |
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298 | (1) |
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299 | (1) |
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299 | (1) |
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300 | (1) |
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Markups/Markdowns When Acting as a Principal |
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301 | (1) |
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Riskless Principal Transactions |
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302 | (1) |
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302 | (1) |
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The Order Audit Trail System (OATS) |
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302 | (1) |
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Trade Reporting and Compliance Engine (TRACE) |
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303 | (1) |
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303 | (1) |
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Limit Up Limit down (LULD) |
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304 | (1) |
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304 | (3) |
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307 | (4) |
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Chapter 12 Customer Accounts |
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311 | (22) |
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313 | (1) |
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314 | (1) |
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315 | (10) |
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Commingling Customer's Pledged Securities |
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325 | (1) |
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326 | (1) |
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326 | (1) |
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327 | (2) |
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329 | (4) |
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Chapter 13 Margin Accounts |
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333 | (20) |
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333 | (1) |
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333 | (3) |
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336 | (1) |
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Establishing a Long Position in a Margin Account |
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336 | (1) |
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An Increase in the Long Market Value |
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337 | (2) |
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Special Memorandum Account (SMA) Long Margin Account |
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339 | (2) |
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A Decrease in the Long Market Value |
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341 | (1) |
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Minimum Equity Requirement Long Margin Accounts |
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341 | (1) |
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Establishing a Short Position in a Margin Account |
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342 | (1) |
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A Decrease in the Short Market Value |
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343 | (1) |
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Special Memorandum Account (SMA) Short Margin Account |
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344 | (1) |
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An Increase in the Short Market Value |
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345 | (1) |
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Minimum Equity Requirement Short Margin Accounts |
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346 | (1) |
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347 | (1) |
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Portfolio Margin Accounts |
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347 | (1) |
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Securities Backed Lines of Credit |
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348 | (1) |
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349 | (4) |
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Chapter 14 Retirement Plans |
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353 | (20) |
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353 | (1) |
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Individual Retirement Accounts (IRAs) |
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354 | (1) |
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354 | (1) |
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355 | (1) |
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Simplified Employee Pension IRA (SEP IRA) |
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356 | (2) |
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Educational IRA/Coverdell IRA |
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358 | (4) |
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Tax-Sheltered Annuities (TSAs)/Tax-Deferred Accounts (TDAs) |
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362 | (2) |
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364 | (2) |
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Rolling Over a Pension Plan |
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366 | (1) |
|
Employee Retirement Income Security Act of 1974 (ERISA) |
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366 | (2) |
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368 | (1) |
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369 | (4) |
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Chapter 15 Brokerage Office Procedure |
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|
373 | (20) |
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373 | (2) |
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375 | (1) |
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Clearly Erroneous Reports |
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376 | (1) |
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376 | (1) |
|
Corporate and Municipal Securities Settlement Options |
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376 | (1) |
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377 | (1) |
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377 | (1) |
|
Government Securities Settlement Options |
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|
378 | (1) |
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378 | (1) |
|
Calculating Accrued interest |
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|
379 | (1) |
|
Accrued Interest for Government Notes and Bonds |
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|
380 | (1) |
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381 | (1) |
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382 | (1) |
|
Delivery of Bond Certificates |
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|
382 | (1) |
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383 | (1) |
|
Don't Know (DK) Procedures |
|
|
383 | (1) |
|
Fail to Deliver/Fail to Receive |
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|
383 | (1) |
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383 | (1) |
|
Customer Account Statements |
|
|
384 | (1) |
|
Carrying of Customer Accounts |
|
|
384 | (1) |
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385 | (2) |
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387 | (6) |
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Chapter 16 Fundamental And Technical Analysis |
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|
393 | (18) |
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393 | (1) |
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394 | (7) |
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401 | (1) |
|
Top Down and Bottom Up Analysis |
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402 | (1) |
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402 | (4) |
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Market Theories and Indicators |
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406 | (1) |
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407 | (2) |
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409 | (2) |
|
Chapter 17 Direct Participation Programs |
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411 | (14) |
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411 | (2) |
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Structuring and Offering Limited Partnerships |
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413 | (1) |
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Types of Limited Partnerships |
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414 | (2) |
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Oil and Gas Sharing Arrangements |
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416 | (1) |
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Equipment Leasing Programs |
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416 | (1) |
|
Tax Reporting for Direct Participation Programs |
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|
417 | (1) |
|
Limited Partnership Analysis |
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|
417 | (1) |
|
Tax Deductions vs. Tax Credits |
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|
418 | (1) |
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418 | (1) |
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418 | (3) |
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421 | (4) |
|
Chapter 18 Customer Recommendations, Professional Conduct, And Taxation |
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|
425 | (30) |
|
Professional Conduct in the Securities Industry |
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|
426 | (1) |
|
Fair Dealings with Customers |
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426 | (5) |
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431 | (1) |
|
Mutual Fund Current Yield |
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|
431 | (1) |
|
Information Obtained from an Issuer |
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431 | (1) |
|
Disclosure of Client Information |
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|
432 | (1) |
|
Borrowing and Lending Money |
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|
432 | (1) |
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432 | (1) |
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433 | (1) |
|
Private Securities Transactions |
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|
433 | (1) |
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|
433 | (1) |
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|
434 | (1) |
|
NYSE/FINRA Know Your Customer |
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434 | (1) |
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435 | (2) |
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437 | (2) |
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439 | (1) |
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|
439 | (1) |
|
Products Made Available through Member Firms |
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439 | (1) |
|
Recommendations through Social Media |
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440 | (2) |
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|
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442 | (1) |
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|
442 | (1) |
|
Calculating Gains and Losses |
|
|
442 | (1) |
|
Cost Base of Multiple Purchases |
|
|
443 | (1) |
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|
|
444 | (1) |
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|
444 | (1) |
|
Taxation of Interest income |
|
|
445 | (1) |
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|
|
445 | (1) |
|
Donating Securities to Charity |
|
|
446 | (1) |
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|
|
446 | (1) |
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|
|
446 | (1) |
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|
446 | (1) |
|
Corporate Dividend Exclusion |
|
|
447 | (1) |
|
Alternative Minimum Tax (AMT) |
|
|
447 | (1) |
|
Taxes on Foreign Securities |
|
|
447 | (2) |
|
|
|
449 | (6) |
|
Chapter 19 Securities Industry Rules And Regulations |
|
|
455 | (40) |
|
The Securities Exchange Act of 1934 |
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|
455 | (1) |
|
The Securities and Exchange Commission (SEC) |
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|
456 | (1) |
|
|
|
457 | (1) |
|
The National Association of Securities Dealers (NASD) |
|
|
457 | (2) |
|
Becoming a Member of FINRA |
|
|
459 | (1) |
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|
|
460 | (1) |
|
Disciplinary Actions Against a Registered Representative |
|
|
461 | (1) |
|
Resignation of a Registered Representative |
|
|
462 | (1) |
|
|
|
462 | (2) |
|
|
|
464 | (1) |
|
Retiring Representatives/Continuing Commissions |
|
|
464 | (1) |
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|
|
464 | (1) |
|
|
|
465 | (1) |
|
Persons Ineligible to Register |
|
|
465 | (1) |
|
Communications with the Public |
|
|
465 | (1) |
|
FINRA Rule 2210 Communications with the Public |
|
|
466 | (3) |
|
|
|
469 | (1) |
|
|
|
470 | (1) |
|
|
|
470 | (1) |
|
|
|
470 | (1) |
|
|
|
471 | (1) |
|
|
|
471 | (1) |
|
Misleading Communication with the Public |
|
|
472 | (1) |
|
Securities Investor Protection Corporation Act of 1970 |
|
|
472 | (1) |
|
|
|
472 | (1) |
|
|
|
473 | (1) |
|
|
|
473 | (1) |
|
The Securities Acts Amendments of 1975 |
|
|
473 | (1) |
|
The Insider Trading & Securities Fraud Enforcement Act of 1988 |
|
|
474 | (1) |
|
|
|
474 | (1) |
|
|
|
475 | (1) |
|
Do Not Call List Exemptions |
|
|
476 | (1) |
|
The Penny Stock Cold Call Rule |
|
|
476 | (1) |
|
The Role of the Principal |
|
|
477 | (1) |
|
Violations and Complaints |
|
|
477 | (1) |
|
Resolution of Allegations |
|
|
477 | (1) |
|
|
|
478 | (1) |
|
|
|
478 | (1) |
|
|
|
479 | (1) |
|
|
|
480 | (1) |
|
|
|
481 | (1) |
|
|
|
481 | (2) |
|
|
|
483 | (1) |
|
|
|
483 | (1) |
|
|
|
483 | (1) |
|
|
|
483 | (1) |
|
|
|
484 | (1) |
|
The Uniform Securities Act |
|
|
485 | (1) |
|
|
|
486 | (1) |
|
Stockholders Owning 5% of an Issuer's Equity Securities |
|
|
487 | (2) |
|
|
|
489 | (6) |
| Answer Keys |
|
495 | (18) |
| Glossary Of Exam Terms |
|
513 | (66) |
| Index |
|
579 | |
