🌐 Regional and Other Exchanges – Series 7 Exam Understanding Trading Venues Beyond the NYSE The Series 7 exam requires a solid understanding of where securities are traded, not just how they are traded. While the New York Stock Exchange (NYSE) is the most recognized, many securities also trade on regional and other specialized exchanges. […]

🆕 Regulation of New Issues – Series 7 Exam Understanding the regulation of new issues is critical for anyone preparing for the Series 7 exam. New issues — such as initial public offerings (IPOs) and secondary offerings — are tightly regulated to ensure transparency, prevent fraud, and protect investors. This topic appears frequently on the […]

🛒 Purchasing and Distribution Phases – Series 7 Exam Understanding the purchasing and distribution phases of securities is essential for Series 7 candidates. These phases describe how new securities are brought to market, sold to investors, and regulated under U.S. securities law. Mastering these concepts is critical for passing questions related to primary and secondary […]

🧾 Quotations and 5% Markup Policy – Series 7 Exam📘 Understanding Pricing Rules and Fair Dealing for Securities Transactions On the Series 7 exam, mastering the concepts of quotations and the 5% markup policy is essential. These rules govern how broker-dealers price securities and ensure fairness when executing trades for customers. Here’s a clear and […]

🧾 Real Estate Investment Trusts (REITs) – Series 7 Exam📘 Key Concepts, Rules, and Practice Points for REITs on the Series 7 Real Estate Investment Trusts (REITs) are a tested topic on the Series 7 exam, falling under investment company products and packaged securities. To score well, you need to know how REITs work, how […]

🧾 Real Estate Investment Trusts (REITs) – Series 7 Exam📘 Key Concepts and Exam Essentials About REITs for the Series 7 Real Estate Investment Trusts (REITs) are a frequent topic on the Series 7 exam, especially in sections covering investment company products and alternative investments. Understanding what REITs are, how they work, and their regulatory […]

🧾 Printable PDF Practice Test for FINRA Exams📘 Simulate the Real Exam Environment with a Downloadable Test If you’re preparing for FINRA exams like the Series 65, Series 66, or Series 7, practicing with a printable PDF practice test can be one of the best ways to simulate the real testing environment. Here’s a ready-to-print […]

📈 Phases of Underwriting – Series 7 Exam Understanding the phases of underwriting is crucial for passing the Series 7 Exam. The underwriting process governs how new securities are issued and sold to the public. The Series 7 tests your ability to recognize the steps, timing, and key regulatory rules that apply. Here’s a complete […]

🧾 Pledging Customer Securities – Series 7 Exam📘 Understanding How Customer Securities Are Handled and Secured One of the key regulatory concepts covered on the Series 7 exam is the pledging of customer securities. This involves the rules that broker-dealers must follow when using client-owned securities to secure loans or meet their own financial obligations. […]

🧾 Portfolio Management – Series 7 Exam📘 Key Concepts You Must Know for Portfolio Management on the Series 7 Portfolio management is a critical section of the Series 7 exam. Questions often test your understanding of how to allocate assets, assess client profiles, and apply investment strategies based on risk and return objectives. Here’s a […]