- Chapter 1 - 4
- 1. Getting Started
- 2. Risk and Tax Considerations
- 3. Equities
- 4. Debt Securities
- Chapter 5 - 8
- 5. Municipal Securities
- 6. Packaged Securities
- 6.1 Introduction
- 6.2 Investment Companies
- 6.3 Unit investment trusts (UITs)
- 6.4 Other Types of Investment Companies
- 6.5 Compliance
- 6.6 Net Asset Value (NAV)
- 6.7 Dollar Cost Averaging
- 6.8 Mutual Fund Management
- 6.9 Types of Mutual Funds
- 6.10 Mutual Fund Distributions
- 6.11 Variable Annuities
- 6.12 Purchasing Variable Annuities
- 6.13 Valuing a Variable Annuity Contract
- 6.14 Real Estate Investment Trusts (REITS)
- 7. Retirement Accounts
- 8. Derivatives
- 8.1 Introduction
- 8.2 What Are Options?
- 8.3 Trading Options
- 8.4 Calls and Puts
- 8.5 Closing Transactions
- 8.6 When To Exercise An Option
- 8.7 Graphical Interpretations for Calls
- 8.8 Graphical Interpretations for Puts
- 8.9 Option Positions
- 8.10 Option Styles
- 8.11 Spread Option Strategies
- 8.12 Straddle Option Strategies
- 8.13 Other Options Strategies
- 8.14 Long Term Equity Anticipation Securities (LEAPS)
- 8.15 Index Options
- 8.16 Other Options
- 8.17 Tax Treatment of Options
- Chapter 9 - 12
- 9. Securities Markets
- 9.1 Introduction
- 9.2 Self-Regulatory Organization (SROs)
- 9.3 Prohibited Activities
- 9.4 Rules Regulating SROs
- 9.5 Primary Market
- 9.6 Registration
- 9.7 Blue Sky Laws and the Securities Act of 1933
- 9.8 Regulation A & D
- 9.9 Secondary Offerings and Shelf Distributions
- 9.10 Primary Market for Bonds
- 9.11 The Securities Exchange Act of 1934
- 9.12 Over the Counter (OTC) Markets
- 9.13 The Currency Market
- 9.14 The Securities Investor Protection Corp. (SIPC)
- 9.15 The Federal Deposit Insurance Corporation (FDIC)
- 9.16 The Business Cycle
- 9.17 Economic Indicators (Part 1 of 2)
- 9.18 Economic Indicators (Part 2 of 2)
- 9.19 Keynesian Theory
- 9.20 Monetarist Theory
- 9.21 The Federal Reserve Board
- 9.22 International Economic Factors
- 10. Customer Accounts
- 10.1 Introduction
- 10.2 Types of Brokerage Accounts
- 10.3 Other Types of Accounts
- 10.4 The Prudent Man Rule
- 10.5 Opening a Brokerage Account
- 10.6 Opening a Retirement Account
- 10.7 Important Account Rules
- 10.8 Closing Accounts
- 10.9 Margin Accounts
- 10.10 Managing Margin Accounts
- 10.11 Margin Account Calculations
- 10.12 Stock Price Changes and Margin Requirements
- 10.13 Purchasing Additional Shares On Margin
- 10.14 Special Memorandum Account
- 10.15 Short Sales
- 10.16 Market Value of a Short Position
- 10.17 Plus Tick Rule
- 10.18 Costs And Fees Associated With Investments
- 10.19 Required Disclosures
- 11. Determining Customer Objectives
- 12. Portfolio Management
- 12.1 Introduction
- 12.2 Diversification
- 12.3 Capital Asset Pricing Theory
- 12.4 Security Market Line
- 12.5 Capital Market Line (CML)
- 12.6 Securities Analysis
- 12.7 Market Indexes and Averages
- 12.8 Technical vs. Fundamental Analysis
- 12.9 Technical Analysis
- 12.10 Fundamental Analysis
- 12.11 LIFO and FIFO Valuation of Inventory
- 12.12 Depreciation
- 12.13 Ratio Analysis
- 12.14 Mutual Fund Analysis
- 12.15 Municipal Bond Analysis
- 12.16 Revenue Bond Analysis
- 12.17 Sources of Information
- 9. Securities Markets
- Chapter 13 - 14
- 13. Securities Transactions
- 14. Rules and Regulations
- 14.1 Introduction
- 14.2 Requirements for Registration
- 14.3 Reporting Outside Business Activities
- 14.4 Investment Advisors
- 14.5 Exceptions to IA Registration
- 14.6 Registering As An Investment Advisor
- 14.7 Standards for Public Communications
- 14.8 Options Disclosure Document
- 14.9 Municipal Security Advertising Standards
- 14.10 Investment Company Product Advertising
- 14.11 Political Contributions
Determining Customer Objectives - Introduction
Of the 250 questions on the Series 7 exam, four will focus on this critical function: "Evaluates customers in terms of financial needs, current holdings, and available investment capital, and helps them identify their investment objectives."
Before you sell any investment to a potential client, you should ideally know as much about the client as you know about the investment itself.
And, just as there is more to a security than its market price, there is more to the customer than how much he or she has to spend. Your recommendations will be determined by both financial and non-financial considerations.
Before you sell any investment to a potential client, you should ideally know as much about the client as you know about the investment itself.
And, just as there is more to a security than its market price, there is more to the customer than how much he or she has to spend. Your recommendations will be determined by both financial and non-financial considerations.
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