Series 7 Top-Off Exam Quiz Lesson 5 Securities Act of 1933

This is Series 7 Top-Off Exam Quiz Lesson 5 Securities Act of 1933

1. Which of the following is true about the Securities Exchange Act of 1934?
(Select all that apply.)
A. It applies to exempt securities.
B. It determines what fair trading practices are.
C. It regulates the secondary trading of securities.
D. It was established by the Securities and Exchange Commission.

2. Which of the following is contained in a 10-K? (Select all that apply.)
A. balance sheet
B. cash flow statement
C. compensation of officers
D. income statement

3. The 10-Q is an audited financial report submitted quarterly to the Securities and Exchange Commission.
A. True
B. False

4. A ___ is filed if the company changes its name or there’s a 5% or greater change in the number of shares outstanding.
A. 10-C
B. 13-G
C. 15-B
D. 8-K

5. Which of the following is required from the broker-dealers by the Securities Exchange Act of 1934?
(Select all that apply.)
A. buy back stocks for customers that reneged on their transactions
B. electronically deliver clients’ confirmation and statements
C. maintain a minimum net capital
D. send customers a copy of their income statement

6. Under ___, margins are regulated from brokers to their customers.
A. Regulation D
B. Regulation M
C. Regulation T
D. Regulation U

7. Broker-dealers are allowed to disclose to customers the routing of the customers’ orders.
A. True
B. False

8. It is a totally anonymous matching of buy and sell orders.
A. alternative trading system
B. electronic exchange
C. electronics communication network
D. physical exchange

9. Which of the following are/were physical exchanges?
(Select all that apply.)
A. Cincinnati Stock Exchange
B. New York Stock Exchange (NYSE)
C. Pacific Stock Exchange
D. Philadelphia Stock Exchange

10. Which of the following is true about penny stocks?
(Select all that apply.)
A. They are sold on the over-the-counter bulletin board.
B. They are unsolicited orders.
C. They are traded on the NASDAQ and other listed exchanges.
D. They sell at less than $5.

11. The broker is not required to assess a penny stock buyer’s financial situation if the buyer is a/an ___.
(Select all that apply.)
A. accredited investor
B. client whose order is unsolicited
C. insider
D. interstate citizen

12. It is trading on nonpublic material information on the company.
A. front running
B. insider trading
C. pegging
D. wash trade

13. This is the catchall rule that prohibits anything fraud even if it is not specifically prohibited in the Securities Exchange Act of 1934.
A. Rule 10b-5
B. Rule 127-c
C. Rule 144A
D. Rule 145

14. For unlawful practices under the Securities Exchange Act of 1934, suits can be brought within ___ of discovery.
A. six months
B. one year
C. two years
D. three years

15. If a control person owns a position of a stock and he wants to lock in his profit or loss, he can ___.
A. dribble out
B. peg the stock
C. short against the box
D. short sell the stock

16. Anybody that has nonpublic material information on the company is considered an insider.

A. True
B. False

17. In the United Sates, they are exempted from the rules that prohibit insider trading.
(Select all that apply.)
A. congressmen
B. directors of the company
C. officers of the company
D. senators

18. Insiders can trade on the material nonpublic information once the information has been made public.
A. True
B. False

19. Only the Securities and Exchange Commission can sue insider traders.
A. True
B. False

20. The statute of limitation for insider trading is ___.
A. one year
B. three years
C. five years
D. ten years

Series 7 Top-Off Exam Quiz Lesson 5 Securities Act of 1933

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Investment Company Act of 1940 Quiz

The Investment Company Act of 1940 Quiz, This is a Quiz from Series 7 Exam Quiz Lesson 42

Investment Company Act of 1940 Quiz

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Series 7 Top-Off Exam Quiz Lesson 55 Options pt 6

This is a Quiz from Series 7 Exam Quiz Lesson 55 Options Pt 6  spreads

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Series 7 Top-Off Exam Quiz Lesson 54 Options pt 5

This is a Quiz from Series 7 Exam Quiz Lesson 54 Options Pt 5  spreads

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Series 7 Top-Off Exam Quiz Lesson 53 Options pt 4

This is a Quiz from Series 7 Top-Off Exam Quiz Lesson 53 Options Pt 4  spreads

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Series 7 Top-Off Exam Quiz Lesson 52 Options pt 3

This is a Quiz from Series 7 Top-Off Exam Quiz Lesson 52 Options Pt 3 call and Put Options

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

2024 Series 7 Top-Off Exam Quiz Lesson 51 Options pt 2

This is a Quiz from Series 7 Top-Off Exam Quiz Lesson 52 Options Pt 2 call and Put Options

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Series 7 Top-Off Exam Quiz Lesson 50 Options pt 1

This is a Quiz from Series 7 Top-Off Exam Quiz Lesson 50 Options Pt 1 call and Put Options

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 76 lessons and a Total Length over 33 hours

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Series 7 Top-Off Exam Lesson 15.1 Risks of Defined Benefit Plans

This is Series 7 Top-Off Exam on the Risks of Defined Benefit Plans

In this Lesson we outline the many risks of Defined Benefit Plans.

These risks include

Market Risk

Interest Rate Risks

Political Risks

Management Risk

Actuary Risks

Investment Risks

and more

Series 7 Top-Off Exam Quiz Lesson 6 Securities Act of 1933

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 76 lessons and a Total Length over 33 hours

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products

Series 7 Top-Off Exam Quiz Lesson 47 Annuities

This is Series 7 Top-Off Exam Quiz Lesson 47 Annuities

1. It is a contract wherein the buyer make payments and after some time, the insurance company will make a series of payments back to the buyer.
A. annuity contract
B. bond contract
C. option contract
D. variable contract

2. Which of the following is NOT true regarding the selling of an annuity contract?
A. The seller of an annuity contract has to have an insurance license.
B. The insurance license for selling an annuity contract is regulated at the national level.
C. The insurance license for selling an annuity contract is issued by the state.
D. All of the above are true regarding the selling of an annuity contract.

3. The earnings on the accumulated funds in an annuity grow tax-deferred.
A. True
B. False

4. Annuity contracts are sold by investment advisors.
A. True
B. False

5. Insurance company accounting is quite different from generally accepted accounting principles.
A. True
B. False

6. Which is the correct formula for a combined ratio?
A. (earned premiums – insured losses) ÷ expense of the company
B. (insured losses + expense of the company) ÷ earned premiums
C. earned premiums ÷ (insured losses + expense of the company)
D. expense of the company ÷ (earned premiums – insured losses)

7. An insurance company had an insurance losses of $10 million, expenses of $3.5 million, and an earned premium of $9 million. What is the combined ratio?
A. 29%
B. 67%
C. 150%
D. 350%

8. An insurance company is paying out more money than it earns when the combined ratio is ___.
A. a negative percentage
B. above 100%
C. below 100%
D. equal to 100%

9. Which of the following is true about a long tail business?
A. It happens when insurance premiums are collected over the years while it takes a long time before a claim arrives (e.g. medical malpractice insurance).
B. It happens when the combined ratio is greater than 100%.
C. It happens when the interest rates are low causing a higher investment income.
D. It happens when there is an investment profit that is not calculated in the combined ratio.

10. In a variable annuity, the insurance company guarantees the annuitant a specific rate of return on his investment over a certain period of time.
A. True
B. False

11. In a fixed annuity, if interest rates are low, the offer of the insurance company would be ___.
A. high
B. low
C. fixed regardless of the interest rates
D. The offer of the insurance company may vary but is independent from the interest rate.

12. In calculating how much a life annuity is going to pay an annuitant, an insurance company takes into consideration the annuitant’s ___.
(Select all that apply.)
A. age
B. financial status
C. gender
D. health

13. It is an annuity wherein a beneficiary could still receive the monthly payments even if the owner of the annuity has already died.
A. joint and last survivor annuity
B. life annuity
C. life annuity with a period certain
D. unit refund life annuity

14. Which of the following is true about joint and last survivor annuity? (Select all that apply.)
A. It would pay the annuitant until he dies.
B. It would pay the annuitant’s spouse until the spouse dies.
C. It would pay the annuitant’s children until the last child dies.
D. It would pay the annuitant’s estate until a certain period of time.

15. In a unit refund life annuity, if the annuitant and the beneficiary dies before receiving the total investment back, the annuitant’s estate gets a refund of ___.
A. half the remaining investment value of the contract
B. quarter of the remaining investment value of the contract
C. the remaining investment value of the contract
D. twice the remaining investment value of the contract

16. Which of the following is true in an annuity that pays for a specified period of time?
(Select all that apply.)
A. If the annuitant dies before the specified period of time is up, the annuity continues paying the beneficiaries.
B. If the annuitant dies before the specified period of time, the annuity does not pay the beneficiaries.
C. If the annuitant lives longer than the specified period of time, the annuity continues paying the annuitant.
D. If the annuitant lives longer than the specified period of time, the annuity stops paying the annuitant.

17. In a variable annuity, which of the following is allowed as a choice of investment?
A. large capital investment
B. small capital investment
C. utility fund investment
D. all of the above

18. The rate of return on a variable annuity product is determined by ___.
A. interest rate offers
B. the amount of premium collected
C. the combined ratio
D. the investment performance held in the annuity contract

19. With installments for a designated amount in a variable annuity, the annuitant receives a specific dollar amount until the principal expires.
A. True
B. False

20. Which of the following is true about a combined fixed and variable annuity?
(Select all that apply.)
A. The annuitant could change the amount of payment he wants to receive monthly through the duration of the contract.
B. The annuitant might take a portion of his annuity in a lump sum and buy a fixed annuity with that money.
C. The annuitant would get a fixed return on the immediate fixed annuity.
D. The annuitant would get a variable return on the remaining portion of the variable annuity.

Series 7 Top-Off Exam Quiz Lesson 47 Annuities

The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes.

The full table of contents for the Series 7 Top-Off Study Guide is located here

The New Series 7 Top- Off Study Guide Audio Lessons is 74 lessons and a Total Length 32 hours 27 Min

The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here

Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam
Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.

Check out our podcast for the SIE Exam

Here is a link to our other study products