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Series 7
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Subject resourcesSeries 7
Practice 40 skills across this outline.
Weighting distribution
13 categoriesFunction 3: Provides Information and Recommendations · Anayzing Customers' Investment Profiles, Product Options
14%
Function 1: Seeks Business · Communications and Promotional Activities
13%
Function 1: Seeks Business · Products and Primary Market Activities
13%
Function 4: Processes Transactions · Processing Customers' Transactions
10%
Function 4: Processes Transactions · Providing Current Quotes
10%
Function 2: Opens Accounts · Supervisory Approvals Required to Open Accounts
7%
Skills
The comprehensive taxonomy of series 7 — drill into a card to work its skills.
Function 1: Seeks Business · Communications and Promotional Activities
3 core skills13% total weight
0/3 completed
3 skills to mastery
1
Apply Product Advertising RulesRecommended
69 questions 24 flashcards Lesson available
2
Distinguish Communication TypesAvailable
68 questions 24 flashcards Lesson available
Function 1: Seeks Business · Products and Primary Market Activities
3 core skills13% total weight
0/3 completed
3 skills to mastery
1
Apply Prospectus RequirementsAvailable
68 questions 25 flashcards Lesson available
2
Explain New Issue ProcessAvailable
50 questions 25 flashcards Lesson available
Function 3: Provides Information and Recommendations · Communicating Account Information and Maintaining Records
2 core skills3% total weight
0/2 completed
2 skills to mastery
1
Apply Record Retention RequirementsAvailable
40 questions 24 flashcards Lesson available
Function 3: Provides Information and Recommendations · Anayzing Customers' Investment Profiles, Product Options
10 core skills14% total weight
0/10 completed
10 skills to mastery
1
Identify REIT And DPP CharacteristicsAvailable
64 questions 25 flashcards Lesson available
2
Apply Option StrategiesAvailable
67 questions 25 flashcards Lesson available
3
Apply Equity Tax RulesAvailable
65 questions 25 flashcards Lesson available
4
Calculate Bond Yield RelationshipsAvailable
44 questions 25 flashcards Lesson available
5
Compare Packaged ProductsAvailable
68 questions 24 flashcards Lesson available
6
Compare Debt SecuritiesAvailable
46 questions 25 flashcards Lesson available
7
Evaluate Equity SecuritiesAvailable
67 questions 23 flashcards Lesson available
8
Calculate Option Profit And LossAvailable
20 questions 25 flashcards Lesson available
9
Evaluate Variable AnnuitiesAvailable
68 questions 25 flashcards Lesson available
Function 3: Provides Information and Recommendations · Information About Investment Strategies, Risks, Rewards
4 core skills6% total weight
0/4 completed
4 skills to mastery
1
Differentiate Market Analysis MethodsAvailable
76 questions 25 flashcards Lesson available
2
Apply Valuation MetricsAvailable
65 questions 23 flashcards Lesson available
3
Interpret Financial StatementsAvailable
38 questions 25 flashcards Lesson available
Function 3: Provides Information and Recommendations · Required Disclosures Regarding Investment Products
2 core skills3% total weight
0/2 completed
2 skills to mastery
1
Apply Product Disclosure RequirementsAvailable
67 questions 25 flashcards Lesson available
Function 4: Processes Transactions · Resolution of Discrepancies and Issues
2 core skills5% total weight
0/2 completed
2 skills to mastery
Function 4: Processes Transactions · Processing Customers' Transactions
3 core skills10% total weight
0/3 completed
3 skills to mastery
1
Identify Order Ticket RequirementsAvailable
65 questions 25 flashcards Lesson available
2
Apply Settlement And Delivery RulesAvailable
26 questions 24 flashcards Lesson available
Function 4: Processes Transactions · Providing Current Quotes
3 core skills10% total weight
0/3 completed
3 skills to mastery
1
Apply Short Sale RulesAvailable
68 questions 24 flashcards Lesson available
2
Differentiate Order ModifiersAvailable
43 questions 25 flashcards Lesson available
Function 2: Opens Accounts · Supervisory Approvals Required to Open Accounts
2 core skills7% total weight
0/2 completed
2 skills to mastery
Function 2: Opens Accounts · Customer Investment Profile Information
2 core skills7% total weight
0/2 completed
2 skills to mastery
Function 2: Opens Accounts · Customer Information and Documentation
2 core skills6% total weight
0/2 completed
2 skills to mastery
1
Identify Required Account DocumentsAvailable
53 questions 25 flashcards Lesson available
Function 2: Opens Accounts · Types of Accounts and Disclosures
2 core skills7% total weight
0/2 completed
2 skills to mastery
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