Greetings, and welcome to yet another insightful article on Series 7 flashcards. This is the fifth article in our eight series articles on the Series 7 exam. We’ve embedded free Series 7 flashcards spanning the four domains of the exam. Each deck has over 40 flashcards. Apart from the Series 7 exam flashcards, we’ll discuss … Read more
Download the Series 6 cheat sheet using the button above. Other free series 7 study materials: This is the sixth article in our Series 7 exam study series. We’ll also explore how to make the most of the cheat sheet. Let’s get started. A cheat sheet concentrates all the important information you need to know … Read more
Greetings, our esteemed reader. We are delighted to share our top picks for Series 7 study materials. This is our seventh article in our Series 7 study hub, which has eight articles. After finishing this article, you’ll have an idea of the best Series 7 study materials. Here are the prep course providers we’ll shed … Read more
Welcome! We promise that after reading this, you’ll understand the Series 7 Exam content and the passing rate. We’ll respond to the frequently asked questions concerning the Series 7 exam. We will focus on the following: So yes, you are in the right place if you need to know more about this FINRA exam, so … Read more
Series 7 Study Guide Navigation Margin accounts are regulated by the Federal Reserve Board and as we know, they allow investors to pledge securities as collateral. This means they are able to borrow money through brokerage firms. When investors have margin accounts with member firms, it’s expected that they will market to market positions daily. … Read more
Series 7 Study Guide Navigation No matter what, even the most thorough registered representative is going to receive a customer complaint against them at some point. That’s just par for the course. In this section, we take a look at how these complaints need to be dealt with according to FINRA regulations. There are various … Read more
Series 7 Study Guide Navigation Processing and confirming customers’ transactions according to the requirements as set out by regulations. Provides customers with details of delivery obligations as well as settlement procedures The securities industry does its utmost to protect investors. To help accomplish this, there are numerous regulatory procedures that govern the trading of securities, … Read more
Series 7 Study Guide Navigation Part of the tasks of a registered representative will involve entering orders for customers. This means that not only should they understand the various types of orders but also how they are to be applied when called upon to carry out this task. But there’s more that they need to … Read more
Series 7 Study Guide Navigation Communications with customers covering their accounts, the processing of customer requests, and document retention There’s no denying that keeping accurate records in just about every aspect is a critical part of the daily workings of a broker-dealer. Of course, we immediately think of the details of the transactions they make … Read more
Series 7 Study Guide Navigation Give clients information regarding disclosures linked to the different characteristics of various investment products, the risks associated with them as well as the services offered and expenses charged In this section of Module 3, we are specifically looking at how registered representatives must provide clients with various critical pieces of … Read more
Connect with us
info@careeremployer.com
(206) 809-7331
Hours of Operation: 10am – 8pm M-F (PST)
7511 Greenwood Ave North Unit #4300 Seattle, WA 98103
How Career Employer Collects Its Data
