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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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 Training Materials | Series 79 Study Guide
November 7, 2009Information 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 [...]