FINAN 3007 - Series 7-Laws & Regulations for Security Dealers

This class covers the Series 7 License and is designed to prepare the student for passing the National Association of Securities Dealers General Securities Representative Exam. After passing the exam the candidate can be licensed to sell all types of securities. The following topics are covered in the class: Equity Securities, Debt Securities (issued by municipalities, the U.S. Government, government agencies, and corporations), Options, Brokerage Accounts (including margin accounts), Issuing Securities, Trading Securities, Investment Company Products, Retirement Plans, Variable Annuities, Direct Participation Programs, Economics, Analysis, Ethics, Taxation, U.S. Government, State, SEC, and SRO rules and regulations.