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The Limited Representative – Investment Banking Exam, commonly referred to as the Series 79, is an examination administered by the U.S. Financial Industry Regulatory Authority (FINRA) for investment banking professionals.
This list of investment banks notes full-service banks, financial conglomerates, independent investment banks, private placement firms and notable acquired, merged, or bankrupt investment banks. As an industry it is broken up into the Bulge Bracket (upper tier), Middle Market (mid-level businesses), and boutique market (specialized businesses).
The Uniform Investment Adviser Law Examination consists of 130 questions plus 10 pretest questions that cover topics applicants must know to provide investment advice to clients. Applicants have 180 minutes to complete the examination, and must answer at least 94 (72%) of the questions correctly to pass the Series 65 exam.
In 1986, Goldman Sachs investment banker David Brown pleaded guilty to charges of passing inside information on a takeover deal that eventually was provided to Ivan Boesky. [214] In 1989, Robert M. Freeman , who was a senior Partner, who was the Head of Risk Arbitrage, and who was a protégé of Robert Rubin , pleaded guilty to insider trading ...
The investment banking industry, including boutique investment banks, have come under criticism for a variety of reasons, including perceived conflicts of interest, overly large pay packages, cartel-like or oligopolistic behavior, taking both sides in transactions, and more. [50] Investment banking has also been criticized for its opacity. [51]
According to U.S. News & World Report, Corzine did not get along with co-CEO Henry Paulson, [18] who came from the other major area of the bank, investment banking. [19] When Corzine participated in structuring the bailout, Paulson seized control of the firm. [20] When Goldman Sachs went public after Corzine's departure, [18] Corzine made $400 ...
Jenkins worked briefly at BP [6] after graduation in 1977 and joined Barclays as a graduate trainee in 1978. [citation needed] From 1982 to 1984 he was head of private placements at Barclays's investment banking division, Barclays de Zoete Wedd (BZW), in New York City, leaving in 1987 to work for Kleinwort Benson, where he was a Director and Co-Head of Financial Markets and he stayed for seven ...
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