Comments on: Series 79 Exam Approved http://www.hedgefundlawblog.com/series-79-exam-approved.html Blogging on hedge fund laws, starting a hedge fund, news and events... Thu, 05 Jan 2012 15:32:15 +0000 hourly 1 http://wordpress.org/?v=3.3.1 By: Series 79 Opt In Period Begins — Hedge Fund Law Blog http://www.hedgefundlawblog.com/series-79-exam-approved.html/comment-page-1#comment-6935 Series 79 Opt In Period Begins — Hedge Fund Law Blog Fri, 29 Jul 2011 22:07:12 +0000 http://www.hedgefundlawblog.com/?p=2438#comment-6935 [...] Regulatory Notice 09-41 – this article reprint’s FINRA’s notice to members.  Notice includes: background and discussion on exam, discussion of the opt in period, information on the training program exception, information on requirement for principals, outline of content, registration procedures, effective date and FAQs. [...] [...] Regulatory Notice 09-41 – this article reprint’s FINRA’s notice to members.  Notice includes: background and discussion on exam, discussion of the opt in period, information on the training program exception, information on requirement for principals, outline of content, registration procedures, effective date and FAQs. [...]

]]> By: Just a Middle American Guy http://www.hedgefundlawblog.com/series-79-exam-approved.html/comment-page-1#comment-2862 Just a Middle American Guy Mon, 24 Aug 2009 21:36:10 +0000 http://www.hedgefundlawblog.com/?p=2438#comment-2862 I am really confused by this move on a number of levels. First of all, I do not recall that there have been problems or issues relating to the competence and capability of investment banking personnel. Second, Anon has a sound point that trying to regulate the community serving small companies as "business brokers," while probably technically within the SEC's ambit, is really outside what should be the SEC's core mission--protecting and promoting the integrity of the capital markets. 90%+ of the activity encompassed in those markets entail activities traditionally regulated by the SEC. Rather than looking to take on new work, the marketplace's crying need is for the SEC to fulfill the core mission better than it is currently doing. I am really confused by this move on a number of levels. First of all, I do not recall that there have been problems or issues relating to the competence and capability of investment banking personnel. Second, Anon has a sound point that trying to regulate the community serving small companies as “business brokers,” while probably technically within the SEC’s ambit, is really outside what should be the SEC’s core mission–protecting and promoting the integrity of the capital markets. 90%+ of the activity encompassed in those markets entail activities traditionally regulated by the SEC. Rather than looking to take on new work, the marketplace’s crying need is for the SEC to fulfill the core mission better than it is currently doing.

]]> By: Series 79 Exam Available November 2, 2009 — Hedge Fund Law Blog http://www.hedgefundlawblog.com/series-79-exam-approved.html/comment-page-1#comment-2818 Series 79 Exam Available November 2, 2009 — Hedge Fund Law Blog Wed, 19 Aug 2009 09:11:59 +0000 http://www.hedgefundlawblog.com/?p=2438#comment-2818 [...] Series 79 Exam Approved [...] [...] Series 79 Exam Approved [...]

]]> By: Anon http://www.hedgefundlawblog.com/series-79-exam-approved.html/comment-page-1#comment-2777 Anon Wed, 12 Aug 2009 07:49:48 +0000 http://www.hedgefundlawblog.com/?p=2438#comment-2777 Can someone please tell me what the SEC decided with respect to small business brokers? The law is so $%^@# up. If we are involved in recapitalizations of small private companies acting as a business broker, what does the new law mean for us? Thanks, Can someone please tell me what the SEC decided with respect to small business brokers? The law is so $%^@# up. If we are involved in recapitalizations of small private companies acting as a business broker, what does the new law mean for us?

Thanks,

]]> By: Over-the-Counter Derivatives Markets Act of 2009 — Hedge Fund Law Blog http://www.hedgefundlawblog.com/series-79-exam-approved.html/comment-page-1#comment-2773 Over-the-Counter Derivatives Markets Act of 2009 — Hedge Fund Law Blog Tue, 11 Aug 2009 21:42:48 +0000 http://www.hedgefundlawblog.com/?p=2438#comment-2773 [...] Series 79 Exam Approved [...] [...] Series 79 Exam Approved [...]

]]> By: Ann http://www.hedgefundlawblog.com/series-79-exam-approved.html/comment-page-1#comment-2731 Ann Mon, 03 Aug 2009 16:11:17 +0000 http://www.hedgefundlawblog.com/?p=2438#comment-2731 Does anyone know if Investment Bankers are required to also take the Series 63 exam and register as reps. with the state(s) in which they do business? Does anyone know if Investment Bankers are required to also take the Series 63 exam and register as reps. with the state(s) in which they do business?

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