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SERIES 7 PRACTICE
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Series 7
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Series 7
Subjects
Seeks Business for the Broker-Dealer from Customers and Potential Customers
Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
Understanding and Explaining the Securities Markets, the Broker Dealer’s Operations, and Customer Accounts
Understanding and Explaining Other Packaged Products, Retirement Plans, and Regulations
Understanding and Explaining Options, Rights, Warrants, and Taxes
Understanding and Explaining Customer Accounts, Margin Accounts, and Regulations
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