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FINRA

Series 79 Training Materials | Series 79 Study Guide

November 7, 2009

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 know that both Kaplan and STC [...]

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Series 79 Opt In Period Begins

November 2, 2009

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 a Form U4 update for the [...]

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IARD Fee Waiver for 2010

October 13, 2009

The press release below from NASAA, the representative body of the state securities administrators, announces an IARD (Investment Adviser Registration Depository) fee waiver for next year.  The fee waiver will cover both the IARD fees for registering investment advisory firms as well as the fees for individuals.  Previously firms had to pay an IARD fee [...]

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Series 79 Exam Available November 2, 2009

August 19, 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 Series 79 Content Outline which seems [...]

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Series 79 Exam Approved

July 30, 2009

http://www.hedgefundlawblog.com
SEC Approves  New Exam for “Limited Representative” Investment Bankers
The long anticipated Series 79 Examination has finally received approval by the SEC, and information will now be made available to the public regarding the content of the exam, the modifications to the original licensure rules, and the scope and intent of the new rule in establishing [...]

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Series 79 Exam – Waiting for SEC Approval

July 19, 2009

Post courtesy of www.series79exam.com.
SEC to Shed Light on the New Series 79 Exam
Pursuant to a proposal set forth by FINRA in February of this year, it is anticipated that the Series 79 will be introduced as a simplified alternative exam for investment bankers. Prior to the introduction of this new exam, all registered representatives were [...]

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Series 79 Exam

July 3, 2009

FINRA to Announce New Investment Banking Examination
For many years now all brokers have been treated equally with regard to examination requirements. Whether a broker was working solely with retail clients or solely with institutions on a private placement basis, each such broker would need to take and pass the Series 7 examination in order [...]

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Form U4 and Form U5 | Information About the Uniform Registration Forms for Broker-Dealers and Investment Advisors

June 24, 2009

Purpose of the Forms and Discussion of Recently Approved Changes & Requirements
The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States, and is the entity designated as the filing depository by the U.S. Securities and Exchange Commission for purposes of the Investment Advisers Act of [...]

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FINRA to Regulate Member’s Retail Forex Activities

January 27, 2009

Comments on Proposed Retail Forex Rules Sought
The Finanacial Industry Regulatory Authority (FINRA) requested comments on a proposed rule to limit the leverage available to retail investors trading in the off-exchange foreign currency (forex) markets.  The proposed rule would be applicable to FINRA member firms and would limit leverage in forex transactions to 1.5 to 1.  [...]

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FINRA New Issue Rule 5130 (Text of the Rule)

December 15, 2008

As we announced earlier today, the NASD New Issue Rule 2790 has changed and is now FINRA Rule 5130.  The text of the New Issue rule is below and can also be found on the FINRA website here.  With regard to hedge funds, this rule is most important with regard to who will deemed to [...]

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