Series 79 Training Course
Investment Banking Representative
The Series 79 Investment Banking Representative Exam will allow individuals to advise or facilitate the following: debt or equity offerings (public or private), mergers or acquisitions, tender offers, financial restructuring, asset sales, and divestitures or corporate reorganizations.
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Series 79 License Course Book
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Series 79 Exam Outline and Overview
Prerequisites: None
Exam Format: 75 multiple-choice questions
Exam Duration: 5 hours
Outline of Topics Covered:
Collection, Analysis, and Evaluation of Data
A significant part of the Series 79 licensing test involves analysis. This includes Trends of the market price and sector trends vs the company. Trends and Analysis regarding valuation and capital as it relates to other stocks as it compares to the primary company. Also tracking similar companies as it relates to new stock offerings to gauge further market trends. You will also be tested on the exam on Information found in reporting and financial disclosures within the guidelines of the Securities Exchange Act of 1934.
Communication is also covered broadly on the Series 79 licensing exam. This includes communication with customers, industry experts and the brokerage firm’s research department to ensure maximum analysis and data has been obtained. You will also be tested on the Financial analysis of companies, similar structured companies and various industry sectors Knowledge of basic financial accounting methods and detailed stat analyses of sheets, data graphs and other areas specific to the obtained data and inputted into company profiles and models.
Underwriting and New Financing Transactions, Types of Offerings, and Registration of Securities
Mergers and Acquisitions, Tender Offers, and Financial Restructuring Transactions
General Securities Industry Regulations