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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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 Opt In Period Begins
November 2, 2009Investment 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 [...]