Securities Licensing Exam Review: SIE and Series 7
A review of the knowledge tested on FINRA's Securities Industry Essentials and Series 7 exams, with practice questions.
FIN-480 Year 4 3 credits 12 lessons planned ▶ Video lessons coming soon
Offered by HSM University · Finance
Course content
- 1How securities licensing works in the USComing
- 2Equity securities reviewComing
- 3Debt securities reviewComing
- 4Investment funds and managed productsComing
- 5Derivatives reviewComing
- 6Accounts, orders and tradingComing
- 7Client discovery, suitability and know your productComing
- 8Taxation of investmentsComing
- 9FINRA and SEC rulesComing
- 10Prohibited practicesComing
- 11Exam strategy and timed practiceComing
- 12Full practice exam and reviewComing
Requirements
- FIN-330 Portfolio Management
- FIN-420 Banking, Financial Regulation and Compliance in the United States
Recommended background. You can start any course at any time.
Description
A review of the knowledge tested on FINRA's Securities Industry Essentials and Series 7 exams, with practice questions.
Part of the Business stream, typically taken in year 4.