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Open Categories Menu 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 [...]
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30 July
Series 79 Exam Approved
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 [...]
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 [...]
