Series 7 Study guides, Class notes & Summaries

What information must be disclosed by a broker dealer in a research report? - Any investment banking compensation paid in past 12 months, anticipated price target, if analyst is a director of the company, any ownership in the company held by the analyst or analyst family members. Subordinated Debenture Bonds - Unsecured bonds, secured by the full faith and credit and no specific collateral of the corporation. Section 457 Plan - Retirement plan used by public sector workers. Similar to 4...

The minimum maintenance in a short account is - 30% of the market value or $5 per share (whichever is greater) for stocks trading above $5. For stocks trading below $5, the minimum maintenance is - $2.50 per share or 100% of market value (whichever is greater). Duration measures - a bond's price volatility by weighting the length of time it takes for a bond's cash flow to pay for itself If two bonds with differing coupon rates have identical maturities, the one with the lower coupon...

Cash flow analysis - The IRS will generally consider a direct participation program to be an abusive tax shelter unless the program can show a profit motive. A popular method of measuring the economic viability of a DPP is $15 million @8% due in 10 years, callable at 101 - DERF Corporation has a significant amount of cash on hand. The chief financial officer (CFO) has suggested to the chief executive officer (CEO) that it might be wise to pay off $10 million of the company's outstand...

Accretion - Adjustment of the difference between the price of a bond bought at an original discount and the par value of the bond Ad Valorem - Latin Term meaning according to value and referring to a way of assessing duties or taxes on goods or property. Advance Refunding - Sale of New bonds in advance, usually by some years, of the first call date of the old bonds. Affiliated Person - Individual in a position to exert direct influence of the actions of a corporation Agency Securitie...

Which of the following would have the greatest impact on a company's "alpha" coefficient? A. A major change in market sentiment B. A major change in the Standard and Poor's 500 Index C. A major change in the corporation's capital structure D. A major change in the Wilshire 5000 Index - C Corporate bonds are usually: I serial bonds II term bonds III quoted on a percentage of par basis IV quoted on a yield basis

Series 7 Exam: 1001 Practice Questions and Answers For Dummies 2nd Edition 2024 with complete solutions Series 7 Exam: 1001 Practice Questions For Dummies® Table of Contents Cover Title Page Copyright Introduction What You’ll Find Beyond the Book Where to Go for Additional Help Part 1: Practicing the Questions Chapter 1: Underwriting Securities The Problems You’ll Work On What to Watch Out For 1–22 Bringing New Issues to Market 23–47 Agreement Among Underwriters 48–64 Re...

Series 7 Benchmark Exam Questions & Answers Solved 100% Correct!!

Excell the Series 7 on your first try, thanks to this dummies study guide Series 7 Exam For Dummies gives you the tips, tricks, and practice you need to pass this notorious securities exam and obtain your General Securities Representative license. This updated edition helps you prep for the current exam, and it includes coverage of the latest tax law changes. You'll also find study plans that will help you budget your time, whether you have 8, 4, or 2 weeks to study or are down to crunch ti...

Series 7 Benchmark Exam Questions & Answers Solved 100% Correct!!

S7 Benchmark Exam 2024 Questions With Correct Solutions!!