Series 2. 4 - General Securities Principal Exam (GP)The Series 2. General Securities Principal Qualification Examination (GP)—assesses the competency of an entry- level general securities principal candidate to perform his or her job as a general securities principal. The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities principal, including the rules and statutory provisions applicable to the supervisory management of a general securities broker- dealer. The Series 2. 4 consists of 1. Candidates are given three hours and 4. The passing score is 7. Please see NASD Rule 1. General Securities Principal for more information. Content Outline. The Series 2. Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required.
It includes sample questions to acquaint candidates with the types of multiple- choice questions on the exam. The outline is comprised of the five main job functions of a general securities principal: Function 1 – Supervision of registration of broker- dealer and personnel management activities. Function 2 – Supervision of general broker- dealer activities. Function 3 – Supervision of retail and institutional customer- related activities. Function 4 – Supervision of trading and market making activities. Function 5 – Supervision of investment banking and research. What is the 'Series 7' The Series 7 is the general securities registered representative license administered by the Financial Industry Regulatory Authority (FINRA. Try our free Series 7 practice exam. Challenging Series 7 practice questions with answers and detailed explanations. A great way to study for your test. Looking for Series 7 Exam practice questions? Look no further. Use our free practice questions to get a high score on your exam. Knopman's Series 63 Exam study guide provides students with all the tools needed to study for FINRA certification. Order your study guide today! Download: Series 2. Content Outline. Eligibility. The Series 2. 4 has a prerequisite exam requirement. Candidates must pass one of the following exams to hold the registration: Series 7. Series 1. 7Series 3. ![]() Series 3. 8Series 5. Candidates will receive the Trader Principal (TP) designation instead of the GP upon passing the S2. Series 6. 2Series 7. Series 8. 2Please see Register a New Candidate for more information on the registration process. Permitted Activities. A general securities principal’s supervisory responsibilities are governed by the limitations of his or her representative level registrations. Covered supervisory activities include regulatory compliance over: Trading. Market making. Underwriting. Advertising. Taking the Exam. The table below lists the allocation of exam questions for each main job function of a general securities principal: Section. Number of Questions. Section 1 – Supervision of Registration of Broker- Dealer and Personnel Management Activities. Section 2 – Supervision of General Broker- Dealer Activities. Section 3 – Supervision of Retail and Institutional Customer- Related Activities. Section 4 – Supervision of Trading and Market Making Activities. Section 5 – Supervision of Investment Banking and Research. TOTAL1. 50. See On the Day of Your Exam for more information. Key Questions. 1. What is the difference between the General Securities Sales Supervisor Exam (Series 9/1. To improve application security, FINRA has shortened the time before users are automatically logged off due to inactivity to 30 minutes. Please make sure to save your. The Series 24 has a prerequisite exam requirement. Candidates must pass one of the following exams to hold the registration: Series 7; Series 17. ![]() General Securities Principal Exam (Series 2. The General Securities Sales Supervisor Examination (Series 9/1. It qualifies an individual to supervise sales activities of a broker/dealer. It satisfies the testing requirements of the American Stock Exchange LLC, the Chicago Board Options Exchange Inc., the Chicago Stock Exchange, the Municipal Securities Rulemaking Board, FINRA, the Pacific Exchange, Inc., and the Philadelphia Stock Exchange. By passing the Series 2. Some test questions involve calculations. Only the provided calculators may be used during the examination. The examination may contain questions that require the use of exhibits (e. If so, the questions will indicate when to refer to an exhibit. Candidates are not permitted to bring any reference materials to testing sessions. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA administered examinations. To learn more about logistics and protocols for your exam day, please see On The Day of Your Exam. Series 7 Exam Lessons that work first time. Series 7 Exam Study Lessons. First of all this Series 7 exam audio course is designed for the busy student who wishes to continue studying and learning the material which will be covered in the series 7 exam. Each time you click the quiz link a new email with the link to the next quiz is sent. All the Quizzes are taken online and you will need a internet connection to take the quizzes. How to listen to these Gumroad lessons on your mobile device! When you purchase my products through Gumroad you may use the Gumroad App to listen to the lessons on your device. Here is a link to the instructionshttp: //help. Each lesson has its own set of quiz questions. This audio course to help you prepare for taking the FINRA series 7 exam. These audio lessons are broken up into segments each with the goal of teaching you key concepts that you will need to understand to successfully pass the series 7 exam. Series 7 Study Guide Second Edition. Table of Contents. Title. Min. Sec. Series 7 Lesson 1, Introduction to the Series 7 Exam. New Episode. Series 7 Lesson 2, Common Stocks. Series 7 Lesson 3, Preferred Stocks. Series 7 Lesson 4, Special Securities. Series 7 Lesson 5, Fixed Income pt. Series 7 Lesson 6, Fixed Income pt. Series 7 Lesson 7, Fixed Income pt. Series 7 Lesson 8, Municipal Debt. Series 7 Lesson 9, Money Market. Series 7 Lesson 1. Credit Default Swaps, Auction Rate Securities, Index Linked Structured Products. New Episode. Series 7 Lesson 1. Options pt. 1 Puts and Calls. Series 7 Lesson 1. Options pt. 2 Covered Calls and Married Puts. Series 7 Lesson 1. Options pt. 3. 18. Series 7 Lesson 1. Options pt. 4 Straddles. Series 7 Lesson 1. Options pt. 5 Spreads. Series 7 Lesson 1. Options pt. 6. 23. Series 7 Lesson 1. Investment Company Act of 1. Series 7 Lesson 1. Open End Mutual Funds. Series 7 Lesson 1. Closed End Mutual Funds. Series 7 Lesson 2. Hedge Funds and Exchange Traded Funds. Series 7 Lesson 2. Unit Investment Trusts. Series 7 Lesson 2. Annuities. 23. 23. Series 7 Lesson 2. Securities Act of 1. Series 7 Lesson 2. Securities and Exchange Act of 1. Series 7 Lesson 2. Sarbanes- Oxley Act, Blue Sky Laws etc. Series 7 Lesson 2. FINRA Rules pt 1. New Episode. Series 7 Lesson 2. FINRA Rules pt 2. New Episode. Series 7 Lesson 2. Municipal Securities Rule making Board Rules MSRB3. New Episode. Series 7 Lesson 2. Securities Trading Markets part 1. Series 7 Lesson 3. Securities Trading Markets part 2. Series 7 Lesson 3. Securities Trading Markets part 3. Series 7 Lesson 3. Securities Trading Markets part 4. Series 7 Lesson 3. Securities Trading Markets part 5. Series 7 Lesson 3. Stock Fundamental Analysis pt. Balance Sheet pt. Series 7 Lesson 3. Stock Fundamental Analysis pt. Balance Sheet pt. Series 7 Lesson 3. Stock Fundamental Analysis pt. Balance Sheet pt. Series 7 Lesson 3. Stock Fundamental Analysis pt 4, Income Statement part 1. Series 7 Lesson 3. Stock Fundamental Analysis pt 5, Income Statement part 2. Series 7 Lesson 3. Stock Fundamental Analysis pt 6, Income Statement part 3. Series 7 Lesson 4. Stock Fundamental Analysis pt 7, Cash Flow Statement pt 1. Series 7 Lesson 4. Stock Fundamental Analysis pt 8, Cash Flow Statement pt 2. Series 7 Lesson 4. Stock Fundamental Analysis pt 9, Discounted Cash Flow. Series 7 Lesson 4. Stock Fundamental Analysis pt 1. Ratio Analysis. 14. Series 7 Lesson 4. Technical Analysis. Series 7 Lesson 4. Macro Economic Analysis. Series 7 Lesson 4. Macro Economic and Portfolio Analysis. Series 7 Lesson 4. Margins pt. 1. 25. Series 7 Lesson 4. Margins pt. 2. 71. Series 7 Lesson 4. SMA1. 52. 4Series 7 Lesson 5. Underwriting. 39. Series 7 Lesson 5. Municipal Bond Underwriting. Series 7 Lesson 5. Investment Taxation. Series 7 Lesson 5. REITS2. 03. 7Series 7 Lesson 5. IRA’s. 36. 41. Series 7 Lesson 5. Keogh Plans. 26. 56. Series 7 Lesson 5. K, SEP IRA and Defined Benefit Plans. Series 7 Lesson 5. Partnerships. 31. Series 7 Lesson 5. FINRA Rules Review. Total length 2. 5 Hours 1. Min 2. 6 seconds. In addition to being able to use the Gumroad App to listen do the lessons on your smart phone this series of lessons also consists of 5. Series 7 Exam lessons in MP3 formatmp. Series 7 Study Guide Audio Lessons 1 to 5. Album Total Length: 2. Seconds. Series 7 Study Guide Second Edition. Table of Contents. Title. Min. Sec. Series 7 Lesson 1, Introduction to the Series 7 Exam. New Episode. Series 7 Lesson 2, Common Stocks. Series 7 Lesson 3, Preferred Stocks. Series 7 Lesson 4, Special Securities. Series 7 Lesson 5, Fixed Income pt. Series 7 Lesson 6, Fixed Income pt. Series 7 Lesson 7, Fixed Income pt. Series 7 Lesson 8, Municipal Debt. Series 7 Lesson 9, Money Market. Series 7 Lesson 1. Credit Default Swaps, Auction Rate Securities, Index Linked Structured Products. New Episode. Series 7 Lesson 1. Options pt. 1 Puts and Calls. Series 7 Lesson 1. Options pt. 2 Covered Calls and Married Puts. Series 7 Lesson 1. Options pt. 3. 18. Series 7 Lesson 1. Options pt. 4 Straddles. Series 7 Lesson 1. Options pt. 5 Spreads. Series 7 Lesson 1. Options pt. 6. 23. Series 7 Lesson 1. Investment Company Act of 1. Series 7 Lesson 1. Open End Mutual Funds. Series 7 Lesson 1. Closed End Mutual Funds. Series 7 Lesson 2. Hedge Funds and Exchange Traded Funds. Series 7 Lesson 2. Unit Investment Trusts. Series 7 Lesson 2. Annuities. 23. 23. Series 7 Lesson 2. Securities Act of 1. Series 7 Lesson 2. Securities and Exchange Act of 1. Series 7 Lesson 2. Sarbanes- Oxley Act, Blue Sky Laws etc. Series 7 Lesson 2. FINRA Rules pt 1. New Episode. Series 7 Lesson 2. FINRA Rules pt 2. New Episode. Series 7 Lesson 2. Municipal Securities Rule making Board Rules MSRB3. New Episode. Series 7 Lesson 2. Securities Trading Markets part 1. Series 7 Lesson 3. Securities Trading Markets part 2. Series 7 Lesson 3. Securities Trading Markets part 3. Series 7 Lesson 3. Securities Trading Markets part 4. Series 7 Lesson 3. Securities Trading Markets part 5. Series 7 Lesson 3. Stock Fundamental Analysis pt. Balance Sheet pt. Series 7 Lesson 3. Stock Fundamental Analysis pt. Balance Sheet pt. Series 7 Lesson 3. Stock Fundamental Analysis pt. Balance Sheet pt. Series 7 Lesson 3. Stock Fundamental Analysis pt 4, Income Statement part 1. Series 7 Lesson 3. Stock Fundamental Analysis pt 5, Income Statement part 2. Series 7 Lesson 3. Stock Fundamental Analysis pt 6, Income Statement part 3. Series 7 Lesson 4. Stock Fundamental Analysis pt 7, Cash Flow Statement pt 1. Series 7 Lesson 4. Stock Fundamental Analysis pt 8, Cash Flow Statement pt 2. Series 7 Lesson 4. Stock Fundamental Analysis pt 9, Discounted Cash Flow. Series 7 Lesson 4. Stock Fundamental Analysis pt 1. Ratio Analysis. 14. Series 7 Lesson 4. Technical Analysis. Series 7 Lesson 4. Macro Economic Analysis. Series 7 Lesson 4. Macro Economic and Portfolio Analysis. Series 7 Lesson 4. Margins pt. 1. 25. Series 7 Lesson 4. Margins pt. 2. 71. Series 7 Lesson 4. SMA1. 52. 4Series 7 Lesson 5. Underwriting. 39. Series 7 Lesson 5. Municipal Bond Underwriting. Series 7 Lesson 5. Investment Taxation. Series 7 Lesson 5. REITS2. 03. 7Series 7 Lesson 5. IRA’s. 36. 41. Series 7 Lesson 5. Keogh Plans. 26. 56. Series 7 Lesson 5. K, SEP IRA and Defined Benefit Plans. Series 7 Lesson 5. Partnerships. 31. Series 7 Lesson 5. FINRA Rules Review. Total length 2. 5 Hours 1. Min 2. 6 seconds. This is a bundle of our two most popular lesson series: Series 7 Study Guide (Audio Lessons For The FINRA Series 7 Exam) 2nd Edition(5. Album Total Length: 2. Seconds)and. Series 6. Audio Study Lessons(9 Audio Lessons 3 hours 3. Min)Price $9. 9. 9. Save $2. 0 if purchased separately. It includes quiz questions and answers for lessons 1 to 5. Series 7 quizzes and 8. Approximately 1. 06. Series 7 Exam quiz questions and answers or about 2. This quiz question book is designed to help test your comprehension of the audio lesson corresponding with the quiz. Preparation for the exam should include finding out where you need additional work in this quiz book is designed to help you determine that. Insurance Exam Audio Study Guide. Life Health Exam. Total lesson listening time is 1. This course is designed to help insurance professionals prepare to take the Life Health Insurance Exam through Listening to audio lessons. The advantages of audio lessons are obvious it allows the busy person to study while it would otherwise be impossible to be reading a book or sitting at a desk. Suddenly you can study while commuting, exercising, taking long walks etc. By Franz Amussen. Narrated by Michael D Young. Price $5. 9. 9Series 7 Podcast Video Episode 5, Fixed Income Pt. Price $5. 9. 9Series 7 Podcast Video Episode 6 Fixed Income Pt 3. Price $5. 9. 9Series 7 Podcast Video Episode 7, Municipal Bonds. Price $5. 9. 9Series 7 Podcast Video Episode 8, Money Market Study Video for the Series 7 Examination. Price $5. 9. 9Series 7 Podcast Video Episode 9, Options Part 1 Study Video for the Series 7 Examination.
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