About the Author
After earning a high score on the Series 7 exam in the mid ’90s, Steven M. Rice began his career as a stockbroker for a broker dealership with offices in Nassau County, Long Island, and in New York City. In addition to his duties as a registered representative, he also gained invaluable experience about securities registration rules and regulations when he worked in the firm’s compliance office. But only after Steve began tutoring others in the firm to help them pass the Series 7 did he find his true calling as an instructor. Shortly thereafter, Steve became a founding partner and educator in Empire Stockbroker Training Institute (www.empirestockbroker.com).
In addition to writing Series 7 Exam For Dummies and Securities Industry Essentials Exam For Dummies, Steve developed and designed the Empire Stockbroker Training Institute online (Series 7, Series 6, Series 63, Series 65, Series 66, Series 24, and more) exams. Steve has also co-authored a complete library of securities training manuals for classroom use and for home study, including the Series 4, Series 6, Series 7, Series 11, Series 24, Series 63, Series 65, and Series 66. Steve’s popular and highly acclaimed classes, online courses, and training manuals have helped tens of thousands of people achieve their goals and begin their lucrative new careers in the securities industry.
Dedication
I dedicate this book to my beautiful wife, Melissa. Melissa was the love of my life, my inspiration, and my best friend. Sadly, my soulmate lost her eight-year battle with cancer in 2017, and there remains a hole in my heart that will never be filled. However, I carry her undying love with me every single day.
Author’s Acknowledgments
A fantastic team over at John Wiley & Sons, Inc. made this book possible. I’d like to start by thanking Executive Editor Lindsay Lefevere for planning the project, keeping me on track, and setting up a great team. I would also like to sincerely thank Tim Gallan (editor extraordinaire) and Liz McKee (online test coordinator) for their tremendous help in making this book with online tests one that we can all be very proud of. The whole team's attention to detail was phenomenal.
Although he passed only a few short months after my wife, I would also like to thank my dad and role model, Tom Rice, his wife Maggie, my sisters Sharlene and Sharlet, and my son Jim and his family for their love and support. I would also like to thank my grandchildren for making me smile and laugh even during the toughest of times. I feel truly blessed to have such a wonderful family.
Finally, I want to thank my wonderful wife, Melissa. No matter what was going on in her life, she always made me her top priority. I was blessed to spend every day of the last 33 years with the most loving and selfless person I've ever met. Her fearless battle with cancer was something to admire. She faced every chemo treatment and every surgery saying to me, “I'll do whatever I have to do so that no one else gets you.” I spent every day trying to become the man deserving of her love. Her undying love and support helped me through the toughest times. I am eternally grateful, and I will love her forever.
Publisher’s Acknowledgments
Executive Editor: Lindsay Sandman Lefevere
Project Editor: Tim Gallan
Production Editor: Mohammed Zafar Ali
Cover Image: © Olena_T/Getty Images