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Series 79 License


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A Series 79 license is typically used in lieu of a Series 7 license by those who act as investment bankers. This license qualifies an individual to advise on or facilitate debt for equity offerings through a private placement or public offering, or to advise or facilitate mergers or acquisitions, tender offers, financial restructurings, asset sales, divestitures, or other corporate reorganizations or business combination transactions.

How To Earn Your Series 79 License

To earn a Series 79 license, you are required to take both a Securities Industry Essentials (SIE) exam and a Series 79 Top Off exam. TrainingCenter provides online training courses, self-study courses, or in-person seminars for both SIE and the Series 79 license review courses so you can choose the method of study that will help you the most.Series 79 License

Regardless of the format you choose, you can be confident that our review packages will give you the knowledge and the skills you need to pass your exam on the first try.

About The SIE: Exam Requirements and Information

The SIE is an introductory-level exam that assesses a candidate's knowledge of basic securities industry information and concepts fundamental to working in the industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices.

There are no pre-requisites to taking the Securities Industry Essentials Exam. The exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

About The Series 79: Exam Requirements and Information

The FINRA Series 79 Licensing exam tests your knowledge about debt for equity offerings through a private placement or public offering, advising or facilitating mergers or acquisitions, tender offers, financial restructurings, asset sales, divestitures, or other corporate reorganizations or business combination transactions.

Note: There are instances when investment bankers must have additional licenses. For instance, an investment banker who effects trades in non-exempt securities for retail customers would have to be Series 7 licensed in addition to the Series 79.

Recommended Courses & Available Training Options

To find training for earning your Series 79 license, simply click on any of the recommended courses below, or search under "Licensing" in the search box thereafter for "Series 79". Good luck earning your license!

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Disclaimer: This information provided is based on state laws and regulations, and is subject to change. While we make every effort to asure this information is current and accurate, it is not engaged in rendering legal or professional advice, and shall not be held responsible for inaccuracies contained herein.
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