Open Exam Prep
337 episodes — Page 1 of 7
Series 7 Exam Prep 22, Corporate Bond Basics
Jun 29, 20263 min
Series 7 Exam Prep 21, Equity Valuation and Market Analysis
Jun 28, 20264 min
Series 7 Exam Prep 20, REITs and Real Estate Securities
Jun 27, 20263 min
Series 7 Exam Prep 19, ADRs, Foreign Securities, and Currency Risk
Jun 26, 20263 min
Series 7 Exam Prep 18, Rights, Warrants, and Dilution
Jun 25, 20263 min
Series 7 Exam Prep 17, Preferred Stock Features
Jun 24, 20263 min
Series 7 Exam Prep 16, Common Stock Basics
Jun 23, 20263 min
Series 7 Exam Prep 15, Investment Objectives and Risk Tolerance
Jun 22, 20263 min
Series 7 Exam Prep 14, Suitability, Reg BI, and Recommendation Standards
Jun 21, 20263 min
Series 7 Exam Prep 13, Education Accounts and Tax-Advantaged Savings
Jun 20, 20262 min
Series 7 Exam Prep 12, Retirement Accounts and ERISA Basics
Jun 19, 20263 min
Series 7 Exam Prep 11, Margin Accounts and Customer Agreements
Jun 18, 20263 min
Series 7 Exam Prep 10, Discretionary Accounts and Trading Authority
Jun 17, 20263 min
Series 7 Exam Prep 9, Account Registrations and Ownership Types
Jun 16, 20262 min
Series 7 Exam Prep 8, Know Your Customer and Customer Investment Profile
Jun 15, 20262 min
Series 7 Exam Prep 7, Customer Account Opening Basics
Jun 14, 20263 min
Series 7 Exam Prep 6, Exempt Securities and Exempt Transactions
Jun 13, 20264 min
Series 7 Exam Prep 5, IPO Rules and New Issue Allocations
Jun 12, 20263 min
Series 7 Exam Prep 4, New Issues, Underwriting, and Prospectus Delivery
Jun 11, 20263 min
Series 7 Exam Prep 3, Broker-Dealer Business and Customer Solicitation
Jun 10, 20263 min
Series 7 Exam Prep 2, What a General Securities Representative Can Do
Jun 9, 20263 min
Series 7 Exam Prep 1, Exam Structure and Function Weighting
Jun 8, 20263 min
[Series 65] 75, Anti-Money Laundering and Senior Protection
Jun 7, 20263 min
[Series 65] 74, Insider Trading and Market Manipulation
Jun 6, 20264 min
[Series 65] 73, Fiduciary Duty and Prohibited Practices
Jun 5, 20264 min
[Series 65] 72, Advisory Contracts and Client Agreements
Jun 4, 20262 min
[Series 65] 71, Advertising and Marketing Rules for IAs
Jun 3, 20262 min
[Series 65] 70, Exempt Securities and Exempt Transactions
Jun 2, 20262 min
[Series 65] 69, Securities Registration Methods
Jun 1, 20263 min
[Series 65] 68, Uniform Securities Act Overview
May 31, 20262 min
[Series 65] 67, Regulation Best Interest
May 30, 20263 min
[Series 65] 66, Agent and BD Registration Requirements
May 29, 20264 min
[Series 65] 65, Broker-Dealer vs Investment Adviser Distinction
May 28, 20262 min
[Series 65] 64, IAR Definition and Registration Requirements
May 27, 20263 min
[Series 65] 63, Form ADV Part 1 and Part 2 Brochure
May 26, 20263 min
[Series 65] 62, Custody Rules and Safeguarding Client Assets
May 25, 20263 min
[Series 65] 61, Recordkeeping and Books and Records Requirements
May 24, 20264 min
[Series 65] 60, IA Net Worth and Bonding Requirements
May 23, 20263 min
[Series 65] 59, State vs Federal IA Registration
May 22, 20263 min
[Series 65] 58, Investment Advisers Act of 1940
May 21, 20263 min
[Series 65] 57, QDROs and Special Distribution Situations
May 20, 20263 min
[Series 65] 56, ERISA and Plan Fiduciary Standards
May 19, 20263 min
[Series 65] 55, Required Minimum Distributions
May 18, 20262 min
[Series 65] 54, Education Savings 529 and Coverdell
May 17, 20263 min
[Series 65] 53, Traditional and Roth IRAs
May 16, 20263 min
[Series 65] 52, Qualified Retirement Plans 401k and Pension
May 15, 20263 min
[Series 65] 51, Tax-Advantaged Investment Strategies
May 14, 20261 min
[Series 65] 50, Capital Gains Tax Treatment
May 13, 20263 min
[Series 65] 49, Dollar Cost Averaging and Systematic Investing
May 12, 20263 min
[Series 65] 48, Fixed Income Portfolio Strategies
May 11, 20263 min