Series 7 Exam Prep Package: Online
Passing the Series 7 exam is a major milestone in a financial services professional’s career. Prepare to pass the Series 7 exam by mastering options, municipal securities, suitability, and all things Series 7 with the Series 7 Exam Prep package presented by the Securities Institute of America, Inc., and the New York Institute of Finance.
This online, self-study package comprises 78 hours of premium exam prep content including:
- 180 days of instant access
- 20+ hours of video training that covers the exam prep manual chapter by chapter to ensure comprehension.
- 624-page exam prep textbook and eBook.
- Unlimited simulated exams and topic-focused practice exams with over 2,100 randomized questions.
- Plus, comprehensive question and exam reports, checkpoint exams, greenlight exams, exam plan personal study calendar, online tools and cheat sheets, test tip videos, and phone, email, and chat support.
Prerequisite knowledge:
- You must be sponsored by a broker dealer to take the exam.
Corequisite:
- You must pass the Securities Industry Essentials exam to be fully licensed. You may take either exam first. You do not need to be sponsored to take the SIE exam. In addition, you may be required to pass either the Series 63 or Series 66 exam.
Note: After you’ve purchased the Series 7 Exam Prep Package on NYIF.com, you'll receive your login details and access instructions from sales@securitiesce.com within 1 business day. This course will be administered on the Securities Institute's learning management portal. If you have selected Pay by Invoice, you will receive login details once NYIF has received your payment.
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To make it even easier to learn, you can finance your program through Affirm.
Loans offered through Affirm are available in the U.S. and Canada.
Duration : 10 Minutes
Duration : 2.2 Hours
- Common stock, preferred stock, rights, warrants, settlement dates, dividend distribution, voting procedures, American depositary shares, REITS and more
Duration : 2 Hours
- Corporate bonds, bond pricing, calculating yields, bonds ladders, convertible bonds, bond ratings, CMOS, exchange traded notes, variable rate securities and more
Duration : 1 Hour
- Treasury bills, notes and bonds, Treasury pricing, STRIPS and receipts, Treasury inflation protected securities, agency issues and more
Duration : 4.3 Hours
- General obligation and revenue bonds, Industrial revenue bonds, double barreled bonds, Issuing municipal securities, the underwriting syndicate, competitive and negotiated offerings, underwriter’s compensation, eastern and western accounts, order allocation, syndicate operation and settlement, Legal opinions, political contributions, Municipal bond trading, out firm quotes, tax implications, confirmation requirements and more
Duration : 1 Hour
- Money market operations, commercial paper, banker’s acceptances, repurchase agreements, government money market instruments, interest rates, LIBOR and more
Duration : 1.2 Hours
- Fundamental factors used in measuring economic activity, GDP, the business cycle, leading and lagging economic indicators, schools of economic thought, monetary and fiscal policy, the federal reserve board and more
Duration : 5.2 Hours
- Option classification, calls and puts, managing an option position, calculating maximum gain loss and breakeven, time value and intrinsic value, using options to hedge long and short stock, straddles, spreads, combinations, index options, treasury options, currency options, American and European options, taxation and more
Duration : 4 Hours
- The investment company act of 1940, types of investment companies, open end and closed end mutual funds, diversification requirements, registration requirements, the role of the board of directors, investment adviser, custodian bank and transfer agent, calculating NAV and sales charges, no load funds, 12B1 fees, prospectus delivery requirements, investment objectives, valuing and pricing mutual funds, dollar cost averaging and more
Duration : 2 Hours
- Annuity registration and operation, accumulation and annuity units, annuity purchase and payout options, the assumed interest rate, suitability and taxation, sales charges and more
Duration : 2.5 Hours
- The securities Act of 1933, prospectus requirements, final, preliminary and free writing prospectuses, cooling off period, tombstone ads, free riding and withholding, underwriting corporate securities, types of underwriting commitments, underwriter’s compensation, private placements, Rule 144, Regulation A and S offerings, Rule 145,147, 415 and more
Duration : 3.2 Hours
- The operations of the NYSE and NASDAQ, market orders, limit orders, stop orders and not held orders, the role of the NASDAQ market makers, the role of the designated market maker on the NYSE, short sale rules and regulations, NASDAQ subscription levels, OTC securities, the third market, the 5 percent markup policy, circuit breakers and more
Duration : 2.5 Hours
- Opening and servicing customer accounts, types of accounts, mailing instructions, holding securities, Regulation S-P, Identity theft, Day trading accounts, ABLE accounts, Regulation Best Interest, FINRA Rule 3241 and more
Duration : 2.5 Hours
- Regulation of credit, Regulation T and the FRB, Calculating required deposits and minimum equity, SMA and excess equity, how to meet a margin call, combined margin accounts, securities backed lines of credit, minimum equity for leveraged ETFs and more.
Duration : 2.5 Hours
- Individual retirement plans, traditional, Roth and Sep IRAs, tax sheltered annuities, corporate plans, 401Ks, KEOGH plans, ERISA regulations, tax implications, Department of Labor Fiduciary rules and more
Duration : 2 Hours
- Order execution, customer confirmations, execution errors, corporate, municipal and treasury settlement, RVP/DVP settlements, calculating accrued interest, rules for good delivery, buy-ins, sellouts, due bills, customer account statements and more
Duration : 2 Hours
- Fundamental analysis, the balance sheet, income statement, industry fundamentals, top down and bottom up analysis, trend lines, market indicators, efficient market theory and more
Duration : 2 Hours
- The structure of limited partnerships, oil and gas, equipment leasing, and real estate partnerships, the role of the general and limited partners, investment objectives, risks, tax considerations and more
Duration : 3 Hours
- Professional conduct in the securities industry, fair dealing with clients, manipulative and deceptive devices, blanket recommendations, selecting suitable recommendations, borrowing and lending money, gifts and gratuities, outside employment, private securities transactions and more
Duration : 2.5 Hours
- The Securities Exchange Act of 1934, The role of the SEC, FINRA regulations and bylaws, Hiring new employees, U4s, U5s, continuing education requirements, FINRA Rule 2210 communications with the public, SIPC and more
Duration : 15 Hours
Duration : 20 Hours