Series 7: 17.5.3.1.1 Purchase And Sales Department

Taken from our Series 7 Top-off Online Guide

We have an Audiobook for this text!

17.5.3.1.1 Purchase and Sales Department

• Sends trade confirmations to customers after receiving orders from order room
• Handles billing information—determines net amount of the transaction and credits or debits the customer’s account (net amount includes commissions or markups/markdowns and accrued interest)
• Compares broker-to-broker

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 17.5.3.1.1 Purchase And Sales Department, you might also be interested in:

Series 50 - Liquidity Risk for Auction Rate Securities

Series 53 - Kinds of 529 Plans

Series 79 - 8.5.1. The Underwriting Spread

Series 53 - Types of Revenue Bonds

Series 28 - Quarterly Customer Account Statements

Series 6 - 6.3.4. Insurance Loans

Series 65 - Regulation of Investment Adviser Representatives

Series 14 - 4.1.6. Withdrawal of Equity Capital

Series 53 - 5.2.3.1. Workable Indications

SIE - 8.2.7.2. Uniform Transfers to Minors Act (UTMA) Accounts

Series 65 - 1.4.3.5. Schedule 13D

Series 66 - Chapter Nine: Ethical Practices and Fiduciary Obligations

Series 51 - Breakpoint Sales

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA

Jeremy, I passed the Series 7 yesterday with an 87% using only your book and online practice tests. Thanks!

Aaron Johnson, Humble, TX

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

When I was studying Series 7 TOP OFF, I enjoy reading everyone's reviews. It was another way of encouraging me. Thank you Solomon, help me pass my 7 ! I followed the four weeks schedule, didn't do anything more or less. Jeremy contacted me and share me with his strategy. I really appreciated it! Solomon helped me pass 63 two years ago. I am buying my s65 now! Thank you again for all your help!

Nora, PA