Built on a highly proven test-prep model, this new guide fully prepares users to pass the Series 7 Exam as well as excel in the seven critical functions of a registered representative. Unlike other test-prep materials available, this guide is structured around the seven critical functions of the registered representative - exactly how the Series 7 Exam is organized -leading to increased success in passing the exam. Exam Preparation book with Drill & Practice CD-ROM also available (0-324-22444-3).
Table of Contents
1. Seeking Business for the Broker-Dealer. 2. Evaluating Customers' Needs and Investment Objectives. 3. Providing Customers with Investment Information. 4. Managing Customer Accounts and Records. 5. Explaining Various Securities Markets. 6. Processing a Customer's Instructions. 7. Monitoring a Customer's Portfolio. Series 7: Securities Practice Exam #1. Series 7: Securities Practice Exam #2. Glossary. Index. Appendix 1: Answer Keys.