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 [...]
Read the full article →
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 [...]
Read the full article →
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 [...]