Rice Series 7 Exam 2023/2024

(RICE-SERIES7.AE1) / ISBN : 978-1-64459-503-9
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About This Course

Are you gearing up for a career in the financial industry? The Rice Series 7 Exam 2023/2024 course is your comprehensive guide to mastering the Series 7 examination, a crucial step toward becoming a licensed General Securities Representative. Rice Series 7 Exam 2023/2024 course is designed to assess your knowledge and skills in the financial industry, paving the way for a rewarding career. Whether you're a budding financial professional or seeking career advancement, this course will empower you with the knowledge and skills needed to excel in the securities industry.

Skills You’ll Get

Get the support you need. Enroll in our Instructor-Led Course.


19+ Lessons | 746+ Exercises | 158+ Quizzes |


125+ Pre Assessment Questions | 4+ Full Length Tests | 125+ Post Assessment Questions | 496+ Practice Test Questions



  • About This Course
  • Icons Used in This Course
  • Where to Go from Here

Introducing the Series 7 Exam

  • What Is the Series 7 Exam, Anyway?
  • Profiling the Series 7 Exam-Taker
  • One’s Not Enough: Tackling the Series 63 or Series 66
  • Securing Sponsorship and Signing Up
  • Taking a Peek at the Tested Topics
  • Understanding the Exam Format and Other Exam Details
  • Receiving and Evaluating Your Score

Preparing for the Series 7 Exam

  • Courses and Training Materials: Determining the Best Way to Study
  • Outlining Your Series 7 Study Strategy
  • Managing Your Study Time Wisely
  • Exploring Study Strategies
  • Developing Solid Test-Taking Skills
  • Knowing When You’re Ready

Examining and Mastering Question Types

  • Familiarizing Yourself with Question Formats
  • Shredding the Questions: Tips and Tricks

Surviving Test Day

  • Composing Yourself the Day Before
  • Making the Most of the Morning
  • Arriving on the Scene
  • Taking the Exam
  • Getting the Results: Drum Roll Please …

Underwriting Securities: Bringing New Issues to Market

  • Bringing New Issues to the Market
  • Reviewing Exemptions

Corporate Ownership: Equity Securities

  • Beginning with the Basics: Common Stock
  • Getting Preferential Treatment: Preferred Stock
  • Securities with a Twist

Debt Securities: Corporate and U.S. Government Loans

  • Tackling Bond Terms, Types, and Traits
  • Making Basic Bond Price and Yield Calculations
  • Determining the Best Investment: Comparing Bonds
  • Exploring U.S. Government Securities
  • Playing It Safe: Short-Term Loans or Money Market Instruments
  • Structured Products

Municipal Bonds: Local Government Securities

  • General Obligation Bonds: Backing Bonds with Taxes
  • Revenue Bonds: Raising Money for Utilities and Such
  • The Primary Market: Bringing New Municipal Bonds to Market
  • Examining Other Types of Municipal Bonds on the Test
  • Don’t Forget Municipal Notes!
  • Municipal Fund Securities
  • Understanding the Taxes on Municipal Bonds
  • Following Municipal Bond Rules
  • Gathering More Municipal Bond Info

Borrowing Money and Securities: The Long and Short of Margin Accounts

  • Getting the Paperwork Out of the Way
  • Introducing Long and Short Margin Accounts
  • Playing by the Federal Reserve Board’s Rules
  • Opening a Margin Account: The Initial Requirements
  • Calculating Debit and Equity in Long Margin Accounts
  • Making Short Work of Calculations in Short Margin Accounts
  • Let the Good Times Roll: Handling Excess Equity
  • Looking at Limits When the Market Goes the Wrong Way

Packaged Securities: Open- and Closed-End Funds and Such

  • Diversifying through Management Investment Companies
  • Considering Other Investment Company Options
  • Reducing Real Estate Risk with REITs
  • Adding Annuities to a Portfolio
  • Exploring Variable Life and Variable Universal Life Insurance
  • Investment Company Rules

Direct Participation Programs: Partnerships

  • Searching for Identity: What DPPs Are (and Aren’t)
  • The DPP Characters: General and Limited Partners
  • Pushing through Partnership Paperwork
  • Types of DPP Offerings
  • Passive Income and Losses: Looking at Taxes on Partnerships
  • Evaluating Direct Participation Programs

Options: The Right to Buy or Sell at a Fixed Price

  • Brushing Up on Option Basics
  • Incorporating Standard Option Math
  • Mastering Complex Option Calculations
  • Nonequity Options
  • Gaining Additional Option Info

Portfolio and Securities Analysis: Examining Companies and the Market

  • Knowing Your Customer: Portfolio Analysis
  • Knowing Your Securities and Markets: Securities Analysis

Going to Market: Orders and Trades

  • Shopping at Primary and Secondary Markets
  • Making the Trade
  • Understanding the Role of a Broker-Dealer
  • Receiving Orders from Customers
  • Designated Market Maker and the Super Display Course (SDBK)

Taxes and Retirement Plans: Making Sure the IRS Gets its Share

  • Everything in Its Place: Checking Out Tax and Income Categories
  • Noting Taxes on Investments
  • Presenting Gift and Estate Tax Rules
  • Exploring Retirement Plans

Rules and Regulations: No Fooling Around

  • The Market Watchdogs: Securities Regulatory Organizations
  • Following Protocol When Opening Accounts
  • Trading by the Course When the Account Is Open
  • Committing Other Important Rules to Memory

Ten Series 7 Exam Traps to Avoid

  • Easing Up on the Studying
  • Assuming the Question’s Intent
  • Reading into the Question
  • Becoming Distracted When Others Finish
  • Not Dressing for Comfort
  • Forgetting to Breathe
  • Trying to Work Out Equations in Your Head Instead of Writing Them Down
  • Spending Too Much Time on One Question
  • Changing Your Answers for the Wrong Reasons
  • Calculating Your Final Score Prematurely

Ten Ways to Start Your Career Off Right

  • Win at the Numbers Game
  • Be an Apprentice
  • Do Your Homework
  • Treat the Minnow like a Whale
  • Smile When You Dial
  • When a Security Goes the Wrong Direction, Don’t Be a Stranger
  • Put In the Hours
  • Broaden Your Horizons
  • Pay Yourself First
  • Set Some Goals: The Brass Ring

Rice Series 7 Exam 2023/2024


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