FINRA Series 7 / 63 / 65 Study Guide

Comprehensive coverage of every major sub-topic on the FINRA Series 7 / 63 / 65, free. Read the rule, the named traps, and the worked examples. Then drill the same sub-topic adaptively in the app.

Customer Accounts & Suitability

Account Types and Registration
Elder-abuse and Vulnerable-client Issues
Know-your-customer (KYC) and Customer Identification
Reg BI (Best Interest)
Suitability Standards

Debt Securities

CMOs and Mortgage-backed Securities
Corporate Bonds
Money-market Instruments
Municipal Bonds
U.S. Treasuries and Agencies
Yield Calculations

Economics & Portfolio Theory

Business Cycle
Economic Indicators
Modern Portfolio Theory and Diversification
Monetary and Fiscal Policy
Risk and Return Metrics

Equity Securities

ADRs and Foreign Securities
Common Stock
Preferred Stock
Rights and Warrants
Stock Valuation and Analysis

Ethics & Professional Conduct

Churning and Excessive Trading
Fiduciary Duty for Advisers
Fraud and Manipulation
Insider Trading and Tipping
Selling Away and Outside Business Activity

Options & Derivatives

Calls and Puts Basics
Futures and Forwards Overview
Margin Rules for Options
Option Strategies: Covered Calls and Protective Puts
Option Strategies: Spreads and Straddles

Packaged Products & Investment Companies

Closed-end Funds
Direct Participation Programs
Exchange-traded Funds (ETFs)
Mutual Funds
REITs
Unit Investment Trusts (UITs)
Variable Annuities

Retirement & Tax

401(k) and 403(b) Plans
Capital Gains and Dividend Taxation
ERISA Fundamentals
Gift and Estate Tax Basics
Traditional and Roth IRAs

Securities Industry Rules & Regulations

FINRA Rules and Conduct Standards
Investment Company Act of 1940
Securities Act of 1933
Securities Exchange Act of 1934
Supervision and Compliance

State Securities Law

Administrator's Authority and Enforcement
Broker-dealer and Agent Registration
Prohibited Practices Under State Law
Securities Registration: Notice Filing, Coordination, Qualification
Uniform Securities Act Scope and Definitions

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