Online Courses
Series 7&66 Online $235.00
Series 7&63 Online $240.00
Series 6&63 Online $172.00
Series 7 Online $190.00
Series 66 Online $105.00
Series 65 Online $115.00
Series 63 Online $110.00
Series 6 Online $105.00
Series 26 Online $120.00
Series 24 Online $215.00
NASD Securities
Education & Training
SECURITIES AND FUTURES PREP
ONLINE AND HOMESTUDY COURSES
SAMPLES:
Series 7 & 66 Online
COURSE NAME:
Series 7 (General Securities Representative Examination)
COURSE DESCRIPTION:
The Series 7 exam is required by most broker-dealers for their registered representatives. General Securities Registered Representative license entitles the holder to to sell all types of securities products, with the exception of commodities futures (which requires a Series 3 license). This course will prepare you for the Series 7 Exam by covering areas tested by the NASD. Series 7 serves as a prerequisite for most of the NASDs principals examinations and is the most comprehensive of the NASD representative licenses.
This course covers the solicitation, purchase, and/or sale of a broad range of investment products, including stocks, bonds, mutual funds, municipal securities, options, and direct participation programs. This course also examines areas such as options, debt securities, taxes, investment banking, financial statements, law, NASD, investment companies, municipal securities, trading, margin, securities analysis, economics, and self-regulatory organizations (SROs).
Each section will be followed by quizzes and then a practice quiz on each topic will be given to sharpen test-taking skills. Feedback rationale is offered for each question that clarifies and improves retention. Database of over 1200 questions and finals that simulate the actual NASD exam will help to ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparation for the license exam.
LEARNING OBJECTIVES:
• Learn the general characteristics of equity securities, which include various aspects of stocks and government securities, rights and warrants, computations of interest, yield and price; learn how to make recommendations to customers.
• Understand the economics of the business cycle, effects of inflation, investment analysis, currency markets and exchange rates. Learn about the money market and the sources of economic and business performance data.
• Learn about the various types of customer accounts, their management by third parties, and how and why accounts are closed or transferred. Understand the calculations required for margin accounts and learn about short sales.
• Understand trading, which includes various types of orders, the consolidated tape and how to collect information on stocks and bonds.
• Understand the general characteristics of municipal securities, their types and marketability. Learn the methods of underwriting and the analysis of bonds.
• Understand the purpose and types of investment companies, the types of mutual funds and their marketing, and the rules and legalities of investment companies.
TOPICS COVERED:
• Introduction
• LESSON 1: Securities
• LESSON 2: Economics
• LESSON 3: Margin
• LESSON 4: Trading
• LESSON 5: Municipal Securities
• LESSON 6: Investment Companies
• LESSON 7: NASD
• LESSON 8: Law
• LESSON 9: Financial Statements
• LESSON 10: Taxes
• LESSON 11: Direct Participation Programs
• LESSON 12: Options
COURSE PRACTICE TESTS:
To help prepare you for the licensing examination, at the end of the course, you will have the option of taking an unlimited number of practice examinations, each consisting of 100 questions. You will be able to take the practice exams an unlimited number of times.
SEAT TIME:
This course takes approximately 60-80 hours to review all of the content.
ACCESS TO COURSE:
From the date of purchase, you will have access to the course for 120 days.
LICENSING EXAMINATION:
Below is information regarding the licensing examination administered by the NASD. For additional information please to to www.nasd.org.
COURSE PRE-REQUISITE:
There is no pre-requisite to take this exam.
EXAM TIME:
Applicants are allowed 6 hours to complete the exam.
EXAM QUESTIONS:
The Series 7 examination will consist of 250 multiple-choice questions.
(Given in two three-hour sessions of 125 questions each)
EXAM TOPICS:
1) Seeks business for the broker dealer through
customers and potential customers. 9 questions - 4%
2) Evaluates customers in terms of available investment
capital, current holdings, and financial needs, and
helps them identify their investment objectives. 4 questions - 2%
3) Provides customers and prospective customers with
information on investments and makes suitable
recommendations. 123 questions - 49%
4) Opens, transfers, and closes customer accounts and
maintains appropriate account records. 27 questions - 11%
5) Explains the organization, participants, and functions
of various securities markets and the principal
factors that affect them. 53 questions - 21%
6) Obtains and verifies the customer’s purchase and
sale instructions, enter orders, and follows up on
completion of transactions. 13 questions - 5%
7) Monitors the customer’s portfolio and makes
recommendations consistent with changes in
economic and financial conditions as well as the
customer’s needs and objectives. 21 questions - 8%
Total: 250 questions - 100%
ABOUT THE SUBJECT MATTER EXPERT:
This course is created and brought to you by 360Training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360Training's high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.
This course was created by the instructional design staff of 360Training in connection with field professionals that bring many years of experience in adult educational theory and distance learning technology to make the process of certification, compliance and training as convenient, engaging, and cost-effective as possible.
If you have any requests for technical or instructional support, please contact the 360Training Support Department located in the HELP section of your account profile. Technical support inquiries are handled immediately and instructional support questions are returned within 24 business hours with answers provided by a qualified professional in your field through our network of subject matter experts.
COURSE NAME:
Series 66 (Uniform Combined State Law Examination)
COURSE DESCRIPTION:
The Series 66 exam is designed for states that require registration of individuals as both investment advisers and stockbrokers. The Series 66 exam combines the Series 65 and Series 63 licenses. Some states require candidates to take just one test that dually registers them as an agent of a broker-dealer and also as a representative of an investment adviser. Those interested should consult with their compliance department or state securities regulator to see if Series 66 is available in their particular state. Persons may take the Series 66 exam only after they have passed the Series 7 exam. Persons taking the Series 66 exam must display competence in some areas of investment analysis, recommendations, and strategies that are not heavily covered in the Series 7 exam.
The Uniform Combined State Law exam covers the principles of state securities regulation covered in the Uniform Securities Act and Federal securities laws which are applicable to investment advisers. The Series 66 test covers topics including: Product Education, Retirement Planning, Conduct and Business Ethics, State Laws and Registration Procedures, Securities Rules and Regulations, and Investment Adviser Laws.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
LEARNING OBJECTIVES:
• Learn the quantitative methods to evaluate investment
• Understand the Investment policy and strategy
• Understand the retirement plans and ERISA
• Learn about the risks involved, and how to manage a portfolio
• Learn the scope of Uniform Securities Act
• Understand the Fraudulent and Prohibited practices in business and advisory activities
• Get an in-depth understanding of the Securities Exchange Act of 1934, Investment Advisers Act of 1940, and the Investment Company Act of 1940
• Learn about the NASAA Statement on Unethical Practices of Investment Advisers Understand trading, which includes various types of orders, the consolidated tape and how to collect information on stocks and bonds.
TOPICS COVERED:
• Introduction
• LESSON 1: Investment Analysis, Recommendations, and Strategies
• LESSON 2: State Securities Laws
• LESSON 3: Federal Acts
• LESSON 4: Ethical Practices
COURSE PRACTICE TESTS:
To help prepare you for the licensing examination, at the end of the course, you will have the option of taking an unlimited number of practice examinations, each consisting of 100 questions. You will be able to take the practice exams an unlimited number of times.
SEAT TIME:
This course takes approximately 40-50 hours to review all of the content.
ACCESS TO COURSE:
From the date of purchase, you will have access to the course for 120 days.
LICENSING EXAMINATION:
Below is information regarding the licensing examination administered by the NASD. For additional information please to to www.nasd.org.
COURSE PRE-REQUISITE:
You must have a Series 7 before taking the Series 66 exam.
EXAM TIME:
Applicants are allowed 150 minutes to complete the exam.
EXAM QUESTIONS:
The Series 66 examination consists of 100 multiple-choice questions.
EXAM TOPICS:
1) Investment Analysis, Recommendations, and Strategies 20 questions - 20%
2) State Securities Laws 50 questions - 50%
3) Federal Securities Laws 10 questions - 10%
4) Ethical Practices 20 questions - 20%
Total: 100 questions - 100%
ABOUT THE SUBJECT MATTER EXPERT:
This course is created and brought to you by 360Training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360Training's high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.
This course was created by the instructional design staff of 360Training in connection with field professionals that bring many years of experience in adult educational theory and distance learning technology to make the process of certification, compliance and training as convenient, engaging, and cost-effective as possible.
If you have any requests for technical or instructional support, please contact the 360Training Support Department located in the HELP section of your account profile. Technical support inquiries are handled immediately and instructional support questions are returned within 24 business hours with answers provided by a qualified professional in your field through our network of subject matter experts.
NASD Securities online courses including series 7, series 66, series 6, series 63, series 65, series 26, and series 24
NASD Securities online courses including series 7, series 66, series 6, series 63, series 65, series 26, and series 24
