Posts tagged as:

series 79

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 Questions and Answers | Investment Banking Exam

September 17, 2009

Q&A For New FINRA Exam License
We have fielded a number of questions regarding the new Series 79 exam for investment banking professionals.  We are creating this question and answer page as a service to our readers.  We will attempt to answer questions as best as possible and our understanding the 79 exam license and the [...]

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Series 79 Exam Available November 2, 2009

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 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 79 Exam – Waiting for SEC Approval

July 19, 2009

Post courtesy of www.series79exam.com.
SEC to Shed Light on the New Series 79 Exam
Pursuant to a proposal set forth by FINRA in February of this year, it is anticipated that the Series 79 will be introduced as a simplified alternative exam for investment bankers. Prior to the introduction of this new exam, all registered representatives were [...]

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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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