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FINRA Series 79 Investment Banking Representative Qualification Examination
600 questions
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About this exam
The FINRA Series 79 Investment Banking Representative Qualification Examination assesses whether candidates have the knowledge needed for investment banking representative registration in the United States. It is intended for professionals whose securities work involves activities such as public and private offerings, mergers and acquisitions, tender offers, or financial restructurings. Candidates generally need to be associated with a FINRA member firm for the firm to sponsor their qualification process. The Securities Industry Essentials (SIE) exam is also required for registration, although candidates may take the SIE before joining a firm.
The Series 79 exam covers gathering and evaluating transaction information, analyzing financial statements, and understanding corporate finance, capital structure, and valuation. Its major areas also include underwriting and new financing, mergers and acquisitions, tender offers, and financial restructuring. The exam uses multiple-choice questions and is timed; FINRA’s current exam page and content outline are the best sources for the latest format details. Preparation calls for more than memorizing terms: candidates need to interpret financial information and apply concepts to transaction scenarios.
How to prepare for the FINRA Series 79 exam
- Use the current FINRA Series 79 content outline to organize your study plan, then review investment banking data collection and analysis alongside the exam’s other major functions.
- Practice financial statement analysis, valuation methods, and corporate finance calculations in context; explain why an answer is correct and why the alternatives do not fit.
- Complete timed multiple-choice sets across all content areas, review every error, and revisit FINRA’s exam information before test day for current policies and format details.
FAQ
Who is eligible to take the FINRA Series 79 exam?
The exam is for people seeking qualification as investment banking representatives. A FINRA member firm generally must sponsor the candidate by filing the required registration paperwork. The SIE exam is also required for registration, but it can be taken separately before firm association.
What is the format of the Series 79 exam?
It is a timed, computer-based multiple-choice qualification exam. FINRA publishes the current exam structure and content outline; check those materials for the latest question, timing, and scoring information.
What subjects should I study for Series 79?
Review investment banking data collection and analysis, financial statement analysis, corporate finance and capital structure, valuation, underwriting and new financing, mergers and acquisitions, tender offers, and financial restructuring. Use the current FINRA outline to guide how you allocate study time.