Posts tagged as:

Series 7

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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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 7 Exam Overview | General Securities Representative Exam

July 21, 2009

What is the Series 7 Exam?
The Securities and Exchange Commission requires that individuals who want to enter the securities industry to sell any type of securities must take and pass the Series 7 examination to qualify as a general securities representative.  Individuals who are Series 7 licensed are eligible to register with all self-regulatory organizations [...]

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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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The Series 7 Exam

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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Hedge Fund Series 7 question

September 22, 2008

As I’ve noted in many of my posts, I will try my best to answer your questions or point you to a post within the site which discusses the subject. Below is a common question for licensed brokers who are getting into the hedge fund industry.
Question: I currently hold a series 7 agent license [...]

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What licenses do you need to start or manage a hedge fund?

August 24, 2008

Question: What licenses do you need to start or manage a hedge fund?
Answer: This is a question that comes up quite often. Many people wonder whether they need a series 7 license or the series 65 license or the series 3 to manage a hedge fund. First, a potential hedge fund manager does [...]

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