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FINRA

19 January
Posted in compliance, FINRA

FINRA Proposes Amendments to Rule 5122

Proposal to Require Greater Involvement in Private Placements by Broker-Dealers FINRA recently proposed amendments to Rule 5122 which would increase Broker-Dealer compliance responsibilities with respect to private placements in which the Broker-Dealer “participates.”  FINRA noted that the vast majority of private placements currently remain outside the purview of the rule [...]

7 November

Series 79 Training Materials | Series 79 Study Guide

Information on Study Materials and Classes for Series 79 Exam One of the inquires I receive most often about the Series 79 exam involves study materials.  As of right now I have not heard of any groups who have produced a study guide or other materials for this exam.  I [...]

2 November

Series 79 Opt In Period Begins

Investment Banking Representative Exam Goes Live Today marks the first day that current Series 7 licensed representatives of BDs who engage in “investment banking activities” can opt in to the Series 79 license.  Current Series 7′s will need to talk with their compliance department who will be able to complete [...]

Series 79 Questions and Answers | Investment Banking Exam

Q&A For New FINRA Exam License We have fielded a number of questions regarding the new Series 79 exam for investment banking professionals.  We are creating this question and answer page as a service to our readers.  We will attempt to answer questions as best as possible and our understanding [...]

Series 79 Exam Available November 2, 2009

FINRA Announces Date of First Series 79 Exam The new investment banking exam, the Series 79, will be available for those first new test takers on November 2, 2009 at any of the FINRA testing centers (Pearson and Prometric).  In addition to the test date announcement, FINRA also published a [...]

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