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Series 7 · Lessons

Series 7 lessons

4 sections · 40 skills · work through the full outline skill by skill — read the long-form lesson or flip through the slide-style version.
Long-form lessonsSlide-style lessons

Series 7

Practice 40 skills across this outline.

Recommended next
Apply Product Advertising Rules
Function 1: Seeks Business · Communications and Promotional Activities
Long-form lesson
Weighting distribution
13 categories
Function 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
Long-form
2
Distinguish Communication TypesAvailable
Long-form
3
Apply Public Communication StandardsAvailable
Long-form

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
Long-form
2
Explain New Issue ProcessAvailable
Long-form
3
Identify Offering RegulationsAvailable
Long-form

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
Long-form
2
Interpret Confirmations And TransfersAvailable
Long-form

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
Long-form
2
Apply Option StrategiesAvailable
Long-form
3
Apply Equity Tax RulesAvailable
Long-form
4
Calculate Bond Yield RelationshipsAvailable
Long-form
5
Compare Packaged ProductsAvailable
Long-form
6
Compare Debt SecuritiesAvailable
Long-form
7
Evaluate Equity SecuritiesAvailable
Long-form
8
Calculate Option Profit And LossAvailable
Long-form
9
Evaluate Variable AnnuitiesAvailable
Long-form
10
Evaluate Municipal SecuritiesAvailable
Long-form

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
Long-form
2
Apply Valuation MetricsAvailable
Long-form
3
Interpret Financial StatementsAvailable
Long-form
4
Apply Portfolio Analysis ConceptsAvailable
Long-form

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
Long-form
2
Identify Investment Cost StructuresAvailable
Long-form

Function 4: Processes Transactions · Resolution of Discrepancies and Issues

2 core skills5% total weight
0/2 completed
2 skills to mastery
1
Resolve Trade Errors And ComplaintsAvailable
Long-form
2
Apply Margin RequirementsAvailable
Long-form

Function 4: Processes Transactions · Processing Customers' Transactions

3 core skills10% total weight
0/3 completed
3 skills to mastery
1
Identify Order Ticket RequirementsAvailable
Long-form
2
Apply Settlement And Delivery RulesAvailable
Long-form
3
Evaluate Trade AdjustmentsAvailable
Long-form

Function 4: Processes Transactions · Providing Current Quotes

3 core skills10% total weight
0/3 completed
3 skills to mastery
1
Apply Short Sale RulesAvailable
Long-form
2
Differentiate Order ModifiersAvailable
Long-form
3
Apply Quote And Best ExecutionAvailable
Long-form

Function 2: Opens Accounts · Supervisory Approvals Required to Open Accounts

2 core skills7% total weight
0/2 completed
2 skills to mastery
1
Identify Account Restriction ScenariosAvailable
Long-form
2
Apply Supervisory Approval RequirementsAvailable
Long-form

Function 2: Opens Accounts · Customer Investment Profile Information

2 core skills7% total weight
0/2 completed
2 skills to mastery
1
Apply Suitability StandardsAvailable
Long-form
2
Evaluate Customer Investment ProfileAvailable
Long-form

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
Long-form
2
Apply Customer Identification RulesAvailable
Long-form

Function 2: Opens Accounts · Types of Accounts and Disclosures

2 core skills7% total weight
0/2 completed
2 skills to mastery
1
Differentiate Account TypesAvailable
Long-form
2
Apply Retirement Account RulesAvailable
Long-form