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But beclientsf,oreanydouthecan loswarme  \nglow of success, you have to face the Series 7. In this chapter, I give you an overview of the Series 7 exam, including its purpose, structure, format, scoring, and some helpful tips to guide you through the registration procedure.  \nWhat Is the Series 7 Exam, Anyway?  \nThe Series 7 exam qualifies you to hold the title General Securities Registered Representative (stockbroker), to sell many different types of securities, and to hopefully make stacks of money for your clients (and a bit for yourself) . Individuals who earn their license by passing the Series 7 exam are qualified to solicit, purchase, and/or sell securities products, including  \n✓ Corporate stocks and bonds ✓ Municipal bonds  \n✓ U.S. government bonds  \n✓ Options  \n✓ Direct participation programs (limited partnerships)✓ Investment-company securities  \n✓ Variable contracts  \nThe exam’s purpose is to protect the investing public by ensuring that the registered reps who sell securities have mastered the skills and general knowledge that competent practicing stockbrokers need to have.  \nThe Series 7 itself is a computer-based exam given at Prometric and Pearson VUE (Virtual University Enterprises) test centers throughout the United States. The 250-question exam,  \n8 Part I: Gearing Up for the Series 7 Exam ~~ ~~  \nadministered by the Financial Industry Regulatory Authority (FINRA), is six long, arduous hours in duration. A score of 72 percent or better gets candidates a passing grade and puts big smiles on their faces.  \nThe sections later in this chapter explain the setup of the Series 7 and give a rundown of how to register for the exam. If you have other questions, contact the FINRA Call Center at [301-590-6500 or visit](301-590-6500 or visit www.finra.org/Industry/Compliance/Registration/)[ www.finra.org/Industry/Compliance/Registration/](301-590-6500 or visit www.finra.org/Industry/Compliance/Registration/)[ ](301-590-6500 or visit www.finra.org/Industry/Compliance/Registration/)[QualificationsExams/RegisteredReps/Brochure/P009865](QualificationsExams/RegisteredReps/Brochure/P009865.)[.](QualificationsExams/RegisteredReps/Brochure/P009865.)  \nProfiling the Series 7 Exam-Taker  \nThe Series 7 exam is for people who want to  \n✓ Enter the securities industry ✓ Become registered representatives ✓ Work for a securities broker-dealer  \nAlthough some less-prestigious exams (for example, the Series 6 and 62) can qualify you to sell some securities, most broker-dealers want their rising stars (that’s you) to have the Series 7 license. That way, you can work with almost the whole kit and caboodle—corporate stocks and bonds, municipal and U.S. government bonds, options, direct participation programs, investment companies, variable contracts, and so on.  \nPeople who have a long and sordid history of embezzlement, forgery, and fraud are generally disqualified and precluded from taking the exam. Candidates must disclose any prior criminal records, and the FINRA reviews each application on a case-by-case basis.  \nOne’s Not Enough: Tackling the Series 63 or Series 66  \nYou don’t have to pass any prerequisite exams before you can take the Series 7; however, you do need to pass the Series 63 or Series 66 to be able to work in the securities industry because these exams and the Series 7 are corequisites in most states. You can take the Series 63 or 66 either before or after you take the Series 7, but most people start studying for the Series 63 or 66 and register to take it right after passing the Series 7.  \nNote: Even if you live in a s","cbCain264ejXfEml","https://ap.wps.com/l/cbCain264ejXfEml","pdf",571633,"English","# In This Chapter\n## Introducing the Series 7\n## Taking a look at companion tests\n## Getting a sponsor and registering to take the exam\n## Uncovering topics tested on the Series 7\n## Mastering the computerized exam format\n# What Is the Series 7 Exam, Anyway?\n# Profiling the Series 7 Exam-Taker\n# One’s Not Enough: Tackling the Series 63 or Series 66\n# Series 63: Uniform Securities Agent State Law Exam\n# Series 66: Uniform Combined State Law Exam\n# Securing Sponsorship and Signing Up","[{\"question\":\"What does the Series 7 exam qualify a candidate to do?\",\"answer\":\"The Series 7 exam qualifies candidates to hold the General Securities Registered Representative title and to solicit, purchase, and/or sell many types of securities products on behalf of clients.\"},{\"question\":\"Where and how is the Series 7 exam administered, and what is the passing score?\",\"answer\":\"It is a computer-based exam administered at Prometric and Pearson VUE test centers. The exam has 250 questions and lasts six hours, with a 72% score or better required to pass.\"},{\"question\":\"Do you need to pass the Series 63 or Series 66 before taking the Series 7?\",\"answer\":\"No prerequisite is required to take the Series 7, but most states require either the Series 63 or Series 66 afterward because these are corequisites for working in the securities industry.\"},{\"question\":\"What is the sponsorship requirement for registering to take the Series 7 exam?\",\"answer\":\"All candidates must have a sponsoring broker to register for the Series 7 exam.\"}]","So You Want to Sell Securities - Introducing the Series 7 Exam - Chapter 1 | PDF",1790327638,25]