How to Prepare for the Stockbroker Exam

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Barron's Educational Series, Jan 3, 2000 - Business & Economics - 384 pages
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A 250-question full-length test closely approximates the actual Series 7 Stockbroker Exam, with answers to all questions. Detailed and up-to-date review chapters cover all exam subjects, which include: corporate securities, U.S. Government securities, money market instruments, municipal securities, direct participation programs, securities analysis, the new issue market, the over-the-counter market, securities on margin, and much more.
 

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Contents

Preferred Stock
8
Examination
23
Answers
30
CHAPTER 3
58
Market for Municipal Securities
65
Calculations
71
Federal Legal Considerations
77
Examination
83
Examination
187
Answers
195
Regulations Governing the Sale of Investment
206
Examination
215
Answers
222
Federal Reserve System
225
Examination
243
Answers
250

Answers
90
CHAPTER 5
115
Real Estate Programs
121
Tax Reform Act of 1986
127
Keogh Plans
134
Answers
146
Exchange Regulations
152
The NASD and the OvertheCounter Market
165
The OvertheCounter Market
178
Index Options
270
Examination
279
Answers
286
Financial Statement Formulas
306
Examination
315
Answers
321
INDEX
375
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About the author (2000)

Michael T. Curley has fifty years of experience in the field of finance, including fifteen years in the banking industry and fifteen years in the brokerage industry. He has attained experience as a manager of operations at Citibank, as a vice president of operations at both State Street and Hartford Trust Company of New York, and from work in the Division of Compliance, Finance, and Margin at the New York Stock Exchange. Since 1987, Curley has been a full-time financial trainer and consultant. He currently teaches at the New York Institute of Finance and at the Securities Operations Forum.

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