Credit Recommendation
- Financial Markets, Institutions and Instruments: 3 credits, upper division level
- Investment Management: 3 credits, upper division level
Effective Dates
September 2010 through September 2020
Issuing Agency
Financial Industry Regulatory Authority
About the Credential
The Series 7 General Securities Representative Examination (GS) exam covers corporate securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts investment products.
How to Apply for the Credit
Credit Recommendation Details / Competencies
Financial Markets, Institutions and Instruments: 3 credits, upper division level
The role, functions, and operations of capital markets, banks, and other financial intermediaries in modern, global economies is covered. The content covers financial markets and the various instruments traded within those markets with a focus on bond and stock markets.
Investment Management: 3 credits, upper division level
A study of investment, types of securities, sources of investment information, the securities markets, and valuation of different assets. Attention is directed to the investment of funds by individual and institutional investors and how to manage those investments. Topics such as risk vs. return, various securities including stocks and bonds, trading strategies, portfolio balancing, and asset pricing models are analyzed.