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

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Part II

Mastering Basic Security Investments

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In this part . . .

For the Series 7 exam (and to be a successful stock­broker) you have to develop the skills to help customers distinguish the securities that meet their needs from those that don’t. To accomplish this, you need to be able to analyze customers’ individual investment profiles, identify the securities that are available in the marketplace, and help the customers select the securities that can meet their financial objectives.

In this part, I introduce the basic securities — stocks and bonds, including municipal securities — that form the foundation of an investor’s portfolio. These chapters review the registration procedure that securities go through before they can be sold to the public and reveal which securities are exempt from registration. Finally, they help you distinguish common stock from preferred stock, corporate bonds from U.S. bonds, and municipal bonds from general obligation bonds.

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