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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October 28, 2008
The Series 7 exam, also known as the General Securities Representative Examination, is the central exam which brokers need to pass before accepting commissions from clients. The exam allows brokers to engage in the following trasactions through the broker-dealer firm they are registered with: solicitation, purchase, and/or sale of all securities products, including corporate securities, [...]
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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 [...]