How to prepare for the exam using the series 7 textbook Sitting down to prepare for the Series 7 Exam can seem like a daunting task when students open up a 600-page textbook. Many test-takers don’t know how to schedule their time nor how to begin to read through the text. Here we provide some […]
In this article we are going to examine the recommendation process and review how recommendations are made to customers. We will also analyze whether or not recommendations are suitable for the customers based on their particular situation. All recommendations must be suitable. The registered representative, when evaluating a customer’s financial status, investment objective, and other […]
Should I take the series 7 or the Series 79 exam? How do you know if your investment industry job duties or the duties of one of your reps require a Series 7 license, a Series 79 license or both? This depends on the activities being performed. The General Securities Representative (Series 7) examination covers […]
In this article we are going to take a look at how corporate securities are offered to investors for sale for the very first time. When we take a look at offering corporate securities we have to start a review with the Securities Act of 1933. The Securities Act of 1933 regulates the primary market. […]
If you are taking The SIE exam, the Series 7 series 24 or series 99 exam, here are the must know facts about margin accounts to ensure you pass your exam. The Federal Reserve Board sets the amount that must be deposited when customers purchase securities using borrowed funds. This is known as the initial […]
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