Close Menu Navigation
Open Categories Menu 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 [...]
Currently Browsing
Posts Tagged ‘ series 7 exam ’
21 July
Posted in
Legal Resources
Series 7 Exam Overview | General Securities Representative Exam
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 [...]
3 July
Series 79 Exam
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 [...]
