Series 7 Study Products

The bundled audio products are a convenient way to get a lot of audio material all at once.

Here is what my customers say about the the audio lessons

Sample Audio Lessons can be found here.

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For full 54 lesson bundle through Gumroad :
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This series of lessons consists of 7 large mp3 files of lessons 1-54 covering:

Series 7 Study Guide Audio Lessons 1 to 54

This consists of 6 large mp3 files of lessons 1-54 covering:

The total length is 22 hours and 38 min.

Lessons 1-10 is 234 minutes

Lessons 11-20 is 236 minutes

Lessons 21-30 is 274 minutes

Lessons 31-40 is 224 minutes

Lessons 41-45 is 122 minutes

Lessons 46-50 is 161 minutes

Lessons 51-54 is 107 minutes

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Videos are available for either purchase or streaming (streaming rental period is good for 72 hours from time of rental), there is a section below that will take you to the link to rent or purchase the fully downloadable MP4’s. By clicking on the buttons below you will be taken to the Gumroad service which will let you stream immediately or if you choose to purchase for download in an MP4 format that may be watched on any computer. Some of these files are quite large so you should not attempt to purchase these videos unless you have a reliable and relatively good internet connection.

I hope these study products are helpful to you in your preparation for the series 7 exam If they are let me know and I may make more of them on the other topics as time allows.

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For other audio bundles through Gumroad click the desired lessons below:

Audio Series 7 Bundled Lessons available for download as mp3 files

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Series 7 Study Guide Audio Lessons (podcasts) 1 to 10

Price $10.00

Lessons 1 to 10 is a 235 minute audio  bundled series of lessons covers the following topics

Series 7 Study Guide Audio Lessons 1 to 10

These are the Series 7 Podcasts 1-10 complete but without the inserted non material rants advertisements and comments.
Lesson 1
An Introduction to the Series 7 Exam

Lesson 2

We discuss how common stocks are created, the rights and terms that describe common stock such as preemptive rights, cumulative voting, and various terms that must be understood in order to pass the FINRA Series 7 Examination.  If you would like to purchase the full 37 min. video that covers the topic of common stocks and what you would need to know on this topic for the series 7 examination. The suggested price for the video is $4.99. However, you may pay what you think it is worth by clicking the link below.

After listening to this episode you should understand the following concepts:  How a stock created.  What is the difference between part, and no par stock.  What are rights issues  What are the terms associated with a rights offer.  What are the formulas used to calculate the value of a right.  What is a registrar.  What is a transfer agent.  What do the stockholder records show and when do you have a right to inspect the stockholder records  What is authorized stock.  What is issued stock.  What is treasury stock  Is treasury stock used in the calculation of earnings per share?  What are physical and book entry certificates.  What is statutory voting.  What is cumulative voting.  What are proxies.  What are the corporate distribution procedures.  Declaration date  Record date  Payable date  preemptive rights  What are the various stockholder rights, including  The right corporate distributions.  Preemptive rights.  Right Corporate assets upon dissolution.  Right to inspect records and books.  Right to vote  Items that require a stockholder vote

Lesson 3

After listening to this episode you should understand the following concepts:  Preferred Stock  Pfd Par vs. common par  Cumulative  Non Cumulative  Voting Rights?  Preemptive rights?  Senior to?  Call features  What is major factor relating to market price  Taxation of dividends for corporations  Current Yield  Interest rate movements  Convertible Preferred  Conversion Ratio  Parity Price  Bonds vs. Preferred  Forced Conversion  Adjustable Rate Preferred  Participating Preferred  Goal of adjustable or variable rate preferred stock

Lesson 4

What is the difference between a warrant and a right, what is a ADR and what are the differences between as sponsored and a non-sponsored ADR.  We discuss these questions in this podcast.

Leson 5

We delve into the world of fixed income investments. What is a fixed income investment, how does it differ from and equity, what are the characteristics, yield , par and maturity? What is a zero coupon bond, a series issue, a serial issue and how do interest rate movements effect the secondary prices of fixed income securities? We discuss these concepts and others in this podcast.

Lesson 6

In this episode we continue the study of the world of fixed income investments. Who are the issuers of fixed income securities? How do they differ? You should have an understanding of the following concepts after listening to this:  US Treasuries  Agencies, GNMA, FNMA, Salliemae  Call features  Sinking funds  Convertible Debt  Diluted Earnings Per Share  Yellow sheets  NYSE  Dealer paper  Direct paper  OTC  Quote services, Bloomberg  Trace: Trade Reporting and Compliance Engine (2004)  What is commercial paper, and how is it priced  What does trading flat mean  When buying a bond. How do you calculate accrued interest payable to the  Seller.  What is a odd first payment on a new issue  What is regular way and cash settlement  How is corporate debt traded, over-the-counter, dealer paper, direct paper, NYSE, TRACE  Retirement of debt, sinking fund, tender offer, refunding, maturing,  Anti-dilutive covenants  Dilution of earnings with the convertible bond issue  How are government bonds, quoted, corporate bonds, quoted, and municipal bonds, quoted  Parity on the convertible bond

Lesson 7

After listening to this podcast you should understand the following concepts:

US treasury notes, treasury bills and treasury bonds  How are they traded  Hybrid treasury securities such as STRIPS, and how are they created  Why would STRIPS be more volatile than regular bonds  What’s another common name for STRIPS  What’s the Federal Farm Credit Consolidated system  Banks for Cooperatives  What is a Federal Housing Finance Agency and how did it come about  What are the 12 Federal Home Loan Bank’s and what do they do  What is the Resolution Trust Corporation why did it come about  What is a Troubled Asset Relief Program and how did it come about  What Are TIPS  CATS and TIGRS  US Government Agencies  What are Federal Land Banks  What are Federal Intermediate Credit Banks  What are Ginnie Mae’s  What are collateralized mortgage obligations and the various tranches and what do they mean  What is the student loan marketing Association  How do you calculate interest on treasury bonds and treasury notes  What are the advantages of CMO’s

Lesson 8

Understanding Municipal Bonds on the Series 7 Exam – One of the keys to passing the series 7 exam is to make sure that you have a complete understanding of how municipal bonds will be tested on the Series 7 Exam. This Podcast is about Municipal After listening to this series 7 audio lesson you should understand:  The characteristics of municipal bonds  Taxation of meniscal bonds  registered book entry and bearer bonds  What is a legal opinion and what is in it  What’s an unqualified opinion  What’s up qualified opinion  How are municipal bonds usually issued serial bonds  What are general obligation bonds  What a revenue bonds  What is a feasibility study  What is the trust indenture  what is a bond contract  What are protective covenants and name some of them  How do you analyze in this civil bond debt  What are the special types of the Municipal debt  What secures a municipal bond if it’s a general obligation bond  And what secures a Municipal bond on a revenue bond  What are short-term Municipal bonds  What is a RAN  What’s a TAN  What’s a step up step down or seven-day floater  What are redemption provisions what’s an optional redemption  A mandatory redemption and extraordinary optional redemption  Extraordinary mandatory redemption  What is refunding  What insurance companies insure municipal bond debt  How are Municipal bonds traded  What are the three tiers of bonds for tax exempt purposes  Where do you get information on Municipal bond quotes  What is positive carry and negative carry

Lesson 9

In this podcast we discuss what you need to know about Money Market instruments  Topics covered include:  The role of the Federal Reserve  Open market operations of the Federal Reserve  Repurchase agreements and reverse repurchase agreements  LIBOR  The Fed funds rate  Overnight repurchase agreements  Euros dollars  Money market instruments  And many more insights.

Lesson 10

What are options? Puts, Calls, in the money, out of the money, time value and intrinsic value. I discuss these topics and terms in this podcast.

 

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Companion Book for Lessons 1-10

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Series 7 Study Guide Companion Book for the Audio Lessons 1-10

Price $9.99

Companion Book for Lessons 1-10

This is the 95 page written companion to the Series 7 Audio Lessons it is an easy to read edited transcription of the audio lessons with some added material.

TABLE OF CONTENTS

Lesson 1: Introduction to the Series 7 Exam……………………………4

Lesson 2: Common Stocks………………………………………………7

Lesson 3: Preferred Stocks……………………………………………….21

Lesson 4 Special Securities (Warrants, Rights, ADRs)………30

Lesson 5: Fixed Income………………………………………………….35

Lesson 6: Fixed Income, Pt. 2……………………………………………44

Lesson 7: Fixed Income, Pt. 3……………………………………………55

Lesson 8: Money Market…………………………………………………67

Lesson 9: Municipal Debt…………………………………………………75

 

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Series 7 Study Guide Audio Lessons 1 to 10 and Companion Book for Lessons 1-10

Price $15.00

Lessons 1 to 10 is 235 minutes of audio Lessons

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Series 7 Study Guide Audio Lessons 11 to 20
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These are the Series 7 Podcasts 11-20 complete but without the inserted non material rants advertisements and comments.
This is 230 minutes in length
Price $10.00
These are the Series 7 Podcasts 11-20 complete but without the inserted non material comments.
Including:

Lesson 11

In this episode we discuss some more option terminology you will need to know in order to pass the series 7 examination options section. Terms such as in the money, out of the money, open interest, are terms that you will need to understand. We then talk about to strategies using options which are considered conservative and are allowed to be used in IRA and retirement accounts those strategies are buying married puts, and writing covered calls.

Lesson 12

In this episode we discuss options, specifically, income and speculative strategies using options. We also talk about what effects the price of options which include beta (or volatility) of the underlying stock, interest rates, and dividends.

Lesson 13

What is an option straddle? How do you calculate the breakeven point, and profit? What’s the difference between a long straddle and a short straddle?

In this podcast we try to answer these questions and give you the information that you will need to know to pass the FINRA Series 7 examination which relate to straddles.

Lesson 14

What is an option spread? How do you calculate the breakeven point, and profit? What’s the difference between a calendar spread, a put spread and a call spread?
In this podcast we try to answer these questions and give you the information that you will need to know to pass the FINRA Series 7 examination which relates to spreads.

Lesson 15

This is the final episode on options, this is sort of a cleanup of a few miscellaneous items including ratio strategies, leaps, foreign currency options, index options, interest rate options, trading months, prices, and a few other things.

Lesson 16

In this podcast we discuss the Investment Company Act of 1940 how it came about and what it regulates. Specifically, Face Amount Certificate Companies, Management Companies and Unit Investment Trusts.

Lesson 17

In this podcast we discuss what is disclosed and required in the prospectus of any mutual fund and then start talking specifically about Open End Mutual Funds. Macimum sales charges, break points, letters of intent , rights of accumulation, reinvestment of dividends and other topics related to open end mutual funds.

Lesson 18

In this podcast we discuss closed-end funds and how they differ from open-end funds. What would be the motivation of the manager to set up a closed-end versus and open-end fund? Why do closed-end funds sell at a discount or premium to net asset value. We also discuss master limited partnerships and the taxing aspects of these entities in comparison to a regular corporate structure.

Lesson 19

I discuss hedge Funds, taxation of funds and exchange traded funds in this episode.

Lesson 20

FINRA Series 7 study guide in this podcast I talk about unit investment trusts in this episode. Comparisons are made in various types of Unit Trusts equity and fixed income.

 

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Series 7 Study Guide Audio Lessons 21 to 30
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Series 7 Study Guide Audio Lessons (podcasts) 21 to 30 complete but without the inserted non material comments and self advertising.
Price $10.oo (273 minutes in length)

 

Series 7 Study Guide Audio Lessons (podcasts) 21 to 30

Lesson 21 Insurance and Annuities
In this podcast I talk about insurance, annuities and participating unit investment trusts. We also talk about how insurance companies work financially and what is the combined ratio and what does it mean for and insurance company.

Lesson 22 Securities Act of 1933
FINRA Series 7 study guide in this podcast I discuss the Securities Act of 1933
Full Disclosure!

Lesson 23 Securities and Exchange Act of 1934
In this podcast I discuss the Securities and Exchange Act of 1934. These are the rules and regulations that govern , trading of non-exempt securities. We discuss insider trading, penny stocks, exchange and broker dealer regulations, proxies, financial statement requirements, prohibited transactions and other areas that the Securities and Exchange Act of 1934 regulates.

Lesson 24 Sarbanes-Oxley Act, Blue Sky Laws etc
In this episode we discuss the Sarbanes-Oxley act, the state blue sky laws and other state regulations, the Securities Investor Protection Act of 1970, the Federal Telephone Consumer Protection act of 1991, the Investment Adviser Act of 1940, the Trust Indenture Act of 1939.

Lesson 25 Securities Trading Markets part 1
In this episode we discuss the securities trading markets, the NYSE, American, Pacific, Chicago, NASDAQ and Philadelphia stock markets. We discuss the differences in trading between floor trading such as is done on the NYSE and electronic trading that is done through the electronic exchanges and the NASDAQ market. What is a specialist and what is his function along with other topics that relate to the trading markets.

Lesson 26 Securities Trading Markets part 2
In this episode we continue the discussion of the securities trading markets, The First, Second, Third and Fourth Markets, Network A, B and C Tapes, UTP privileges the UQDF data feed and the Consolidated Quotations Service as well as order ticket information, Day, GTC, Limit, Market, Long, Short, Do Not Reduce (DNR) etc.

Lesson 27 Securities Trading Markets part 3
In this episode we continue the discussion of the securities trading markets, order ticket information, Day, GTC, Limit, Market,
Long, Short, Do Not Reduce (DNR), FOK, AON, Discretion, DNH (Dealer not held),etc. And then contrast the trading styles of specialists
vs market makers or in other words the trading markets differences if the NYSE vs the electronic markets.

Lesson 28 Securities Trading Markets part 4
In this episode we continue the discussion of the securities trading markets, NYSE and NASDAQ Rules, a little more on specialists, Trading screens data feed etc.

Lesson 29 Securities Trading Markets part 5
This is the final podcast that deals with the trading markets. The trading markets have been in a constant state of flux for the past 20 years this has been brought about as a result of the increasing reliance on electronic trading. Before we get into the final section of the trading market which deals with options and Chicago Board options exchange I discussed the recent merger between the Intercontinental exchange and the NYSE Euronext exchange. This exchange offer provides an illustration of a classic arbitrage opportunity; I go into an analysis of the three different offers and what the outcomes might be with the different choices.

Then we go into an analysis and discussion of the options trading market what are the listing and delisting standards for the Chicago Board options exchange, what is a floor broker, what is an order book official, what is a market maker in options, what is a registered options trader, what is a designated primary market maker. We discuss trading rotation and the daily opening rotation and the priorities in option trades such as spreads and straddles versus individual trades finally we talk about accommodation liquidations in cabinet trades.

Lesson 30: Stock Fundamental Analysis, Balance Sheet part 1
In this lesson we start our exploration of the different techniques used in stock analysis. There are two types of commonly recognized techniques for analyzing stocks, fundamental analysis and technical analysis. We are going to start our learning with fundamental analysis. This is the first lesson on fundamental analysis of what will become a multi-audio series of lessons just for the fundamental analysis techniques.

We discuss a balance sheet going into detail over the various categories of the balance sheet and what to watch for. There are several categories in a balance sheet that companies can interpret in several ways. Also there are different depreciation techniques that will affect balance sheet assets. We discuss inventory methods, depreciation methods, goodwill and all the other terms that are represented on the balance sheet.

When looking at a balance sheet this is the economic history of the company over many years, whereas the income statement shows a snapshot over the past year, a balance sheet shows the company’s financial performance over its entire life.

 

All podcasts produced and content at www.series7podcast.com are copyrighted. You may use the podcasts for personal use but you may not rebroadcast, or offer for sale, or use this content in any other manner without written permission.  ©2013 Series 7 Podcast, All Rights Reserved
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Series 7 Study Guide Audio Lessons 31 to 40
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Price $10.oo (273 minutes in length)
Series 7 Study Guide Audio Lessons (podcasts) 31 to 40

Series 7 Study Guide Audio Lessons (podcasts) 31 to 40 complete but without the inserted non material comments and self advertising.
Price $10.oo (224 minutes in length)

The Series 7 Audio Lessons 31-40 covers the following topics

Series 7 Exam Preparation Guide Lesson 31: Stock Fundamental Analysis, Balance Sheet part 2

This is the second audio lesson which is examining Balance Sheet analysis which is part of the fundamental analysis discipline of Stock analysis. In this lesson we compare Apple and Lockheed and analyze the balance sheet comparing the two companies and what we would think we should expect when looking at the balance sheet of these companies. We also discuss the asset item, deferred taxes, goodwill, and utility regulation with an eye to the balance sheet.

Series 7 Exam Preparation Guide Lesson 32: Stock Fundamental Analysis, Balance Sheet part 3

This is the third audio lesson which is examining Balance Sheet analysis which is part of the fundamental analysis discipline of stock analysis. In this lesson we compare Southern Company, an electrical utility, Arch Coal a coal mining company and Provident Financial Company a small bank with 80 Branch offices located in New Jersey. The emphasis of this Lesson is to get you to think about what the proper capital structure should be for the various industries you are examining and what we would think we should expect when looking at the balance sheet of these companies. We also discuss impairment of goodwill, and debt repayment tables.

Series 7 Exam Preparation Guide Lesson 33: Stock Fundamental Analysis, Income Statement part 1

This Lesson begins the analysis of income statements. This is part of what is called the fundamental approach, or bottoms up approach, to investment analysis. We start by explaining what conceptual idea of it income statement is expected to achieve whereas the ballot sheet is the financial history of the company, and income statement is simply a chapter in the history of the company. We discuss what makes up revenues and how revenues may be manipulated; we discussed the difference between accrual and cash basis accounting. Then we go into the expense side of the balance sheet and look at various areas where income can be adjusted by the choices of accounting treatment such as, inventory method it’s LIFO versus FIFO, depreciation methods, straight line versus accelerated depreciation methods. And then we end the podcast with an examination of the actual income statement and statement of equities of Lockheed Martin Corporation.

Series 7 Exam Preparation Guide Lesson 34: Stock Fundamental Analysis, Income Statement part 2

This Lesson is the second podcast that deals with the analysis of income statements. We start this podcast with a discussion of what generally accepted accounting principles are we then make a comparison of the basic differences between generally accepted accounting principles (GAAP) and international financial reporting standards (IFRS) treatment of various accounting concepts. We then examine the income statement and statement of equity for Merck Corporation and Tesla Corporation.

Series 7 Exam Preparation Guide Lesson 35: Stock Fundamental Analysis, Income Statement part 3

In this Lesson of the series 7 podcast we continue our examination of the income statement with an emphasis on banks and financial institutions. First we talk about the history of the banking industry and the legislation that is affected how commercial banks and investment banks used to be separated and now how the two have been merged together. We talked about some of the specifics special accounting majors which banks may use to report their earnings and asset values, and how this differs from a regular Corporation. We then examine the income statement line by line of BankAmerica and discuss what is not and what is shown. Finally we discuss the use of credit default swaps and the potential for great losses that these instruments may cause should the counterparties to these huge transactions fail.

Series 7 Exam Preparation Guide Lesson 36: Stock Fundamental Analysis, Cash Flow Statement part 1

From a fundamental analysts point of view one of the most informative statements an analyst can examine is the consolidated statement of cash, also commonly called the cash flow statement. The cash flow statement is a derivative of both the income statement and balance sheet. To the uninitiated is a difficult statement to read and understand however those enlightened individuals this statement is a treasure trove of information where items accounted for under the accrual basis reveal the fundamental cash accounts associated and can point to potential future problems the company may have where accrual accounting can lead to the possible overstatement of income through various accounting practices or overstatement of at assets or understating of liabilities. The cash flow statement accounts for cash pure and simple cash into the company from operations, cash used by the company in its normal course of business, and financing activities undertaken by the company. You can’t fake cash!

Series 7 Exam Preparation Guide Lesson 37: Stock Fundamental Analysis, Cash Flow Statement part 2

In this lesson I take you into the basics of reading a cash flow statement with the example of examining the consolidated statement of cash from Tesla Motors and Target Corporation. From a fundamental analysts point of view one of the most informative statements an analyst can examine is the consolidated statement of cash, also commonly called the cash flow statement. The cash flow statement is a derivative of both the income statement and balance sheet. To the uninitiated is a difficult statement to read and understand however those enlightened individuals this statement is a treasure trove of information where items accounted for under the accrual basis reveal the fundamental cash accounts associated and can point to potential future problems the company may have. Where accrual accounting can lead to the possible overstatement of income through various accounting practices or overstatement of at assets or understating of liabilities, the cash flow statement accounts for cash pure and simple, cash into the company from operations, cash used by the company in its normal course of business, and financing activities undertaken by the company. You can’t fake cash!

Series 7 Exam Preparation Guide Lesson 38: Stock Fundamental Analysis, Discounted Cash Flow Model

In this lesson I take you through a basic discounted cash flow model. A discounted cash flow model attempts to guess at what the future free cash flows of the company may be. Since money received in the future is less valuable than money available immediately we discount expected future cash flows to the present value. What affects the discounted cash flow model are the assumptions used in the calculations of the model. If we have a low discounted interest rate those future cash flows are worth less than if we use a higher discount rate. If our guesses of future cash flows turn out to be less than reality than the discounted cash flow model gives us a higher present value (intrinsic value ) than reality The assumptions we make for the future free cash flow of the company are just guesses based on judgment, and an analysis of the company’s past results.

A discounted cash flow model is simply a beginning point to the analysis of the company, it gives us some basic numbers to determine if based on the assumptions we make whether the stock may be overvalued or undervalued.

I demonstrate in this lesson how you can make a model give you any number you desire. Beware of models they are only guesses and of the wrong assumptions are used in the input of the model an incorrect answer comes out at the end. Since we’re dealing with the unknown and there is no right model.

Series 7 Exam Preparation Guide Lesson 39: Ratio Analysis

In this lesson we should talk about ratio analysis. Ratio analysis is a quick way of getting a handle on the company’s relative strengths and weaknesses. The analysis is applied to information contained in the income statement and balance sheet. Common ratios are the current ratio, the acid test or sometimes called the quick ratio, inventory turnover, accounts receivable turnover, bond ratio, preferred stock ratio, these and others are covered in this lesson.

Series 7 Exam Preparation Guide Lesson 40: Technical Analysis

In this lesson we talk about technical analysis. We discuss head and shoulders tops, head and shoulders bottoms, saucers, moving averages, support levels and resistance levels. We talk about the rationale behind the idea technical analysis and contrasted the technical approach to stock analysis and compared to the fundamental approach. We discuss how volume of the stock affects its movements and its interpretation in stock movement, momentum, available funds, and monetary policy in regards to how the actions of the Federal Reserve Board affect the stock market in general.
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Series 7 Study Guide Audio Lessons 41 to 45
Series 7 Exam Lessons

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Series 7 Study Guide Audio Lessons 41 to 45

The Series 7 Audio Lessons 41-45 covers the following topics
Series 7 Exam Preparation Guide Episode 41: Macro Economic Analysis

The US economic history is a history of business cycles. Business cycles follow a similar pattern over and over again it starts with expansion and then follows with a contraction and recession and then repeats the process over and over again. The length of the expansions and the lengths of the recessions very but the pattern is consistent. In this lesson we discuss terms that are used to describe the economy of the United States. We discuss the gross national product and the gross domestic product and how those two terms differ. We talk about the various theories of economy such as the supply-side theory, the monetarist theory and the Keynesian theory. We discuss fiscal policy and monetary policy, what is inflation what is deflation and what is the definition of a recession and depression. We talk about consumer price index the producer price index. We discuss at length the role of the Federal Reserve including its history and its open market operations we describe the Fed funds rate, the discount rate, and the prime rate. We talked about the velocity of money, M1, M2 and M3 and how the money supply expands and contracts based on actions of the Federal Reserve Board. We talk about leading and lagging economic indicators such as consumer confidence index in the various reports put out by the conference Board.

Series 7 Exam Preparation Guide Episode 42: Portfolio Analysis

in this lesson we briefly touch on the new Volker Rule and how that will affect proprietary trading which up until this rule goes into effect is being done by banks to enhance their earnings. We then go into individual portfolio analysis, portfolio allocation theory, rates of return including the annualized rate of return, the average rate of return, and the compound rate of return. And we talked about the various styles of portfolio management such as blue-chip, growth, emerging growth, speculative, and so forth.
Included with this lesson is a spreadsheet which you can use to look at how returns affect the three types of rates of returns. Download the spreadsheet and play with the interest rate call him and see how it affects the average, annualized, or compound rate of returns.

Series 7 Exam Preparation Guide Episode 43: Margins 1

What are regulations T and U?
Who regulates client margin accounts?
What is the “cheap Stock” Short position rule?
What is the margin account requirements for a regular margin account , and arbritrage account and a day trading account?
What makes you a “Day Trader?
These and other margin related questions are answered in this lesson.

Series 7 Exam Preparation Guide Episode 44: Margins 2

In this lesson we learn that besides reg t margin accounts there are portfolio margin accounts.
What are portfolio margin accounts and who qualifies?

Series 7 Exam Preparation Guide Episode 45: SMA

In this lesson we learn about the Special Memorandum Account commonly abbreviated as SMA. How was SMA calculated? What can you do with SMA? We also discussed what is a restricted account is and when a maintenance margin call will be issued. We discussed the various formulas needed for you in preparation for the series 7 examination which relate to margins SMA’s and maintenance margin requirements.

Additionally I created an Excel spreadsheet which lets you see using your own scenarios what the Reg T margin is, the SMA in a rising market and the maintenance margin in a declining market as well as how much stock would need to beat posited to cover a maintenance margin call.
Series 7 Study Guide Audio Lessons 41 to 45
Price $7.99 (122 minutes in length)
All podcasts produced and content at www.series7podcast.com are copyrighted. You may use the podcasts for personal use but you may not rebroadcast, or offer for sale, or use this content in any other manner without written permission.

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Series 7 Study Guide Audio Lessons 46 to 50
Price $7.99 (161 minutes in length)

Series 7 Exam Preparation Guide Lesson 46: Underwriting

In this lesson we learn about the underwriting process of the security whether that be a fixed income security or an equity security. We discuss the letter of intent, the formation of the syndicate, the various terms used in the prospectus such as a green shoe clause, the spread. We also learn about the difference between a preliminary prospectus often called a red herring, and the final prospectus. What is a firm commitment versus a best efforts commitment to an underwriting, what is a Mini Maxi underwriting, all or none, how is an underwriter paid and what is an underwriter required to do?

Series 7 Exam Preparation Guide Lesson 47: Municipal Underwriting

In this lesson we learn about the underwriting process of underwriting municipal bonds and how it differs from those of securities regulated under the Securities Exchange Act of 1933. We describe the responsibilities and duties of the municipal financial advisor, the bond counsel, the lead underwriter, syndicate managers, and sales agents, we learn how to calculate net interest costs, and we describe how bonds are advertised for sale and the process that an underwriter will go through in order to win a competitive bid on municipal bonds.

Series 7 Exam Preparation Guide Lesson 48: Taxes on Investments

Unless you are an accountant or an attorney you should not give your clients tax advice. In fact most the firms you work for will specifically tell you not to give tax advice to your clients. However you need to be able to paint in broad strokes the tax advantages or disadvantages of the investments you may or may not recommend.

In this lesson we will discuss the difference between long-term capital gains, short-term capital gains, the current tax rates, the types of taxes on various forms of income such as royalty income, rental income, and we’ll also briefly discussed the alternative minimum tax and what may or may not count as a tax preference item in the calculation of the alternative minimum tax.

You are not expected to be an expert on taxes for the Series 7 examination however you do need a basic grasp of capital gains, both long and short-term, and what the holding periods are to qualify for long-term capital gains.

Series 7 Exam Preparation Guide Lesson 49: REIT’s

In this lesson we learn about real estate investment trusts. The types of REIT’s (Equity and Mortgage) and how do they differ, how are distributions taxed and the regulation and organization of REIT’s.

Series 7 Exam Preparation Guide 50: IRA Accounts

In this lesson we learned about IRA accounts. Who can contribute to an IRA account, what are the contribution limits for individuals and joint filers of tax returns? When is a contribution nondeductible and why would an individual choose to make a nondeductible contribution? What are the penalties for early withdrawals? What are the exceptions to the early withdrawal penalties? When must the owner of an IRA account start withdrawing from the account, how much must be withdrawn on an annual basis and what are the penalties should the required minimum distribution not be withdrawn.

We also discussed Roth IRA accounts, who can contribute to a Roth IRA account, and how these differ from regular IRA accounts.
All podcasts produced and content at www.series7podcast.com are copyrighted. You may use the podcasts for personal use but you may not rebroadcast, or offer for sale, or use this content in any other manner without written permission.

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Series 7 Study Guide Lessons 51-54

Series 7 Exam Preparation Guide Lesson 51

Pension plans including Keogh plans defined benefit plans and defined contribution plans

In this lesson we talked about various tax qualified retirement plans which include keel plans, defined benefit plans, and

defined contribution plans. What are the contribution limits and one of the difference between the various plans and what you

need to understand about these plans.

Series 7 Exam Preparation Guide Lesson 52

SEP IRA and Defined Benifit Plans

Series 7 Exam Preparation Guide Lesson 53

Partnerships

This lesson is about partnerships and what you need to understand for the FINRA series 7 examination in order to be able to

expect to answer questions relating to partnerships, their formation and also a little about the taxation of partnerships.

Series 7 Exam Preparation Guide Lesson 54

FINRA Rules

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