Series 7 License

Series 7 License

Credits Available

  • Financial Markets, Institutions and Instruments (3 credits, upper division level)
  • Investment Management (3 credits, upper division level)

Dates Valid

September 2010 through September 2020

Issuing Agency

Financial Industry Regulatory Authority (formerly NASD)

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. This aligns with the typical investment instruments covered in a Principles of Investments course. Passage of the exam also indicates knowledge of the financial markets and institutions in which trading occurs.

Applying for the Credit 

Submit a Credential Credit Application to apply for the credit.

  • Charter Oak students: Log into the Acorn Student Portal and look in Student Self-Service / Student Forms.
  • Non-Charter Oak students: Contact the PLA Office to request a Credential Credit Application.

Course Descriptions

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.