Equity Securities - Wrap-up

1. Equity Securities Wrap-up

So now that we've finished up those practise questions, let's wrap up the equity securities section. Under equity securities, we were able to cover common stock, preferred stock, and other equities, which included rights, warrants, and ADRs. As you know, equity securities is just one of the many topics that are tested as part of the Series Seven exam, which means there will be additional courses like this one coming soon, all to help you prepare for your Series Seven exam. Upcoming topics that we will address include: options, the trading markets and exchanges,new issues, regulations, investment companies, and more. My goal is to give you the support and the information you need so you can be confident as you take your exam. Not just take the test, but pass the test. Watch for the next video series coming soon.

2. BONUS!! Preview for Trading Markets and Exchanges

This video is a preview of an upcoming videocourse that will be available soon about trading markets and exchanges. The next topic that we will cover is our preparation for Series Seven The exam will build off what we've already learned. The next section is on trading markets and exchanges. The Trading Markets and Exchanges will help us understand how securities are traded and what rules support the market systems. The exam will focus on the different ways that investors can trade securities on the exchanges and what we as stockbrokers should know so we can help our clients. The Trading, Markets, and Exchanges section will make up about 6% of the exam, which will equal about twelve to eighteen questions. In this section, we will dive deeper into the following topics Regulations and order types There are many different markets in which equities can trade. We'll define them and we'll pay attention to what makes them different,including where bonds and options trade. At the stockbroker, you will be helping your clients place trades, and it's important to know what the different order types are, what they will do, and which ones would make the most sense for your customer. The concepts around how the order types work and how to use them are what we call market mechanics, and we'll talk about it. We will go deeper into the various marketplaces and make sure we know what the differences are. specifically comparing the New York Stock Exchange and Nasdaq, which are most likely to be tested as part of a highly regulated industry. You might imagine that there are many rules that govern these markets, and you are right. There are rules that we need to know and they are there to help protect our clients. The common rules that we'll discuss include the Security Act of 1934, rules about agents and dealers, and others. When we take what we know about equity securities and now how they trade on the exchanges, we will create a solid foundational knowledge in our preparation for the Series Seven exam. So, in our next video series, we will be able to continue into the lecture presentation and work through realistic exam questions together to help solidify our understanding of the Trading, Markets, and Exchanges section.

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