The Boston Institute of Finance Stockbroker Course: Series 7 and 63 Test Prep + CDGet the all-in-one product that provides preparation information for the two tests necessary to sell stocks: the Series 7 and Series 63 exams. The Boston Institute of Finance Stockbroker Course combines the industry?s premier print study guide with access to the industry?s premier online test-prep materials. This unique course has become one of the best products available for exam preparation by providing the core knowledge needed to pass. The study guide chapters parallel the content of the exams, each chapter includes review questions, and the companion CD-ROM features a sample final exam and tips that will sharpen your skills even further. If you're looking to pass both the Series 7 and Series 63 exams, this is the only guide you will need. |
From inside the book
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Page v
... ........................................................................ xv 1 3 7 7 7 8 Stock Certificates.................................................................................... 9 9 10 11 Preferred Stock .........
... ........................................................................ xv 1 3 7 7 7 8 Stock Certificates.................................................................................... 9 9 10 11 Preferred Stock .........
Page vii
... Certificates of Deposit.......................................................... 112 Treasury Receipts ... Certificate of Incorporation .................................................................... 123 Bylaws of the ...
... Certificates of Deposit.......................................................... 112 Treasury Receipts ... Certificate of Incorporation .................................................................... 123 Bylaws of the ...
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Contents
INTRODUCTION | 3 |
Chapter 1 CORPORATE SECURITIES | 7 |
Chapter 2 FINANCIAL ANALYSIS | 27 |
Chapter 3 INVESTMENT BANKING | 47 |
Chapter 4 MUNICIPAL SECURITIES | 69 |
Chapter 5 US GOVERNMENT SECURITIES | 105 |
Chapter 6 OVERTHECOUNTER MARKETS | 115 |
Chapter 7 NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATIONS | 123 |
Chapter 13 ECONOMIC MONETARY AND INDUSTRIAL FACTORS | 225 |
Chapter 14 RISKS AND POLICIES | 237 |
Chapter 15 SECURITIES TAXATION | 245 |
Chapter 16 INVESTMENT COMPANIES | 253 |
Chapter 17 INDIVIDUAL RETIREMENT PLANS | 273 |
Chapter 18 FEDERAL AND STATE REGULATIONS | 281 |
Chapter 19 DIRECT PARTICIPATION PROGRAMS | 291 |
SERIES 63 STUDY GUIDE | 309 |
Other editions - View all
The Boston Institute of Finance Stockbroker Course: Series 7 and 63 Test ... Boston Institute of Finance No preview available - 2005 |
The Boston Institute of Finance Stockbroker Course: Series 7 and 63 Test ... Boston Institute of Finance No preview available - 2005 |
Common terms and phrases
agent amount assets Assume a customer bank basis broker or dealer broker/dealer business day buyer call option capital gain cash certificate common stock corporation cost customer’s debt deducted deposit distribution dividend dollar earnings excess equity exempt exercise price expiration Federal Reserve income interest rate investment advisor investment company investor issue issuer liabilities limited partners limited partnership loss margin account margin requirement market maker market price Market value long maturity member firm municipal bonds municipal securities mutual fund NASD NASDAQ normally number of shares NYSE NYSE maintenance offering option contract paid payment period person portfolio preferred stock premium principal profit prospectus purchase put option ratio received referred registered representative registration statement Regulation T requirement revenue risk sales charge sell shares of ABC sold stockholders strike price syndicate trade date transaction underlying security underwriter Uniform Securities Act writer yield yield to maturity