Series 7 Top-off Audio

Series 7 Top-off

General Securities Representative Exam



Track Title Bookmark Length Download
1 Note from the Publisher 0:44
2 Copyright 0:16
3 Introduction 11:00
4 Chapter One - Equity Securities 21:33
5 Stock Splits 15:51
6 Liquidation 16:50
7 Subscription Rights 10:50
8 Chapter Two - Debt Securities 16:13
9 Interest Rates and Bond Prices 16:17
10 Subordinated Debentures 16:00
11 Eurobonds and Eurodollar Bonds 16:59
12 U.S. Treasury Securities 17:07
13 Asset-Backed and Mortgage-Backed Securities 19:40
14 Other Asset-Backed Securities 12:54
15 Chapter Three - Municipal Securities 13:20
16 Other Types of Municipal Bonds 18:58
17 Municipal Notes 17:01
18 Negotiated Sale Authorization (Revenue Bonds) 19:30
19 Selling the Bonds 17:31
20 Types of Municipal Quotations 16:42
21 Analyzing Revenue Bonds 19:18
22 Rule G21 - Advertising Must Be Truthful 15:58
23 Chapter Four - Taxation of Equity and Debt 19:47
24 Discount Bonds 15:10
25 Bank Qualified Bonds 6:02
26 Chapter Five - Options 15:13
27 Calculating Gains and Losses 20:44
28 Chicago Board Options Exchange and Options Clearing Corporation 15:39
29 Spreads 17:38
30 Options Strategies 19:06
31 Foreign Currency Options 17:19
32 Taxation of Options 9:12
33 Chapter Six - Investment Companies 16:08
34 Balanced Funds 19:00
35 Management Company Rules 17:59
36 Taxation of Mutual Funds 15:09
37 Distributions 13:33
38 Chapter Seven - Alternative Investments 17:15
39 Primary Goal of a DPP 17:18
40 Equity, Mortgage, and Hybrid REITs 10:03
41 Chapter Eight - Annuities 16:55
42 Taxation 20:08
43 Chapter Nine - Market and Securities Analysis 22:48
44 Tools of Government Policy 28:46
45 Assets 17:24
46 Technical Analysis 8:42
47 Chapter Ten - Suitability and Portfolio Analysis 15:08
48 Political, Legislative, and Regulatory Risk 17:24
49 Risk Tolerance 14:14
50 Passive and Active Investment Strategies 9:44
51 Chapter Eleven - Conducting Business with the Public 15:30
52 Publication of Research Reports 16:32
53 Member Compensation 7:11
54 Chapter Twelve - Issuing Securities and the Primary Market 14:19
55 Registration Process 15:30
56 Unsold Shares of a Public Offering 14:22
57 Restrictions on the After Market of a Public Offering 14:51
58 Resales of Restricted and Control Securities 8:28
59 Chapter Thirteen - Compliance, Reporting, and Supervision 15:36
60 Suspicious Account Activity 19:12
61 Member Supervisory Controls 10:20
62 Chapter Fourteen - Customer Accounts 21:27
63 Types of Account Authorizations 15:53
64 Types of Payment Options 14:46
65 Chapter Fifteen - Margin Accounts 17:00
66 Short Positions in Margin Accounts 19:40
67 Chapter Sixteen - Retirement Plan and Education Savings Plan Accounts 17:03
68 Non-Qualified Employer-Sponsored Plans 14:10
69 Education Savings Plan 15:31
70 Chapter Seventeen - Trading in the Secondary Market 19:48
71 Over-the-Counter Markets 19:44
72 Trade Reporting, Clearing, and Settlement 16:24
73 General Requirements for Trade Clearing and Settlement 18:14
74 Trading Halts 20:22
75 Chapter Eighteen - Securities Industry Regulators 21:43
76 FINRA Requirements and Conditions of Membership 16:23
77 FINRA Adjudicatory Procedures 18:08

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