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Series 7 Exam For Dummies, Premier Edition with CD, 2nd Edition by Steven M. Rice

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Introduction

So you want to be a stockbroker? The good news is that a career in the securities field can be extremely lucrative and rewarding. The not-so-good news is that anyone who plans to become a stockbroker and sell securities in any of the 50 states must first pass the Series 7 exam, a monster of a test. And to accomplish this, you have to commit time and effort.

I passed the Series 7 exam the first time with a very high score, but it required weeks of study and sacrifice. Those who aren’t totally prepared on exam day are in for an unpleasant wake-up call. I always get a few students in every class who’ve enrolled after they already failed the exam the first (or second) time they took it. Most of them initially expected the same easy ride that they’d experienced in high school or college. Not only were they wrong, but they also had to pay hundreds of dollars to reregister for the exam and wait another 30 days (a mandatory FINRA rule) to retake the exam.

Back to the good news. You’re obviously interested in doing well, so you probably won’t be one of those people. This book can help you pass the Series 7 and achieve your goal.

About This Book

This book is not a comprehensive content review. That’s what textbooks are for. Rather, this book is designed to be a supplement, a handy guide as you figure out how to think not only like a financial adviser but also like the test designers do (and no, I don’t mean to tap into your potential as an evil mastermind).

I cover the topics ...

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