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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.
Series 1 – Registered Representative Exam (Discontinued) Series 2 – Non-Member General Securities Exam (Discontinued) Series 3 – National Commodities Futures Exam* Series 5 – Interest Rate Options Exams; Series 6 – Investment Company and Variable Contracts Exam (Mutual Funds Broker/Variable Annuities)
In the United States, the investment company products/variable life contracts representative exam, is commonly referred to as the Series 6 exam. Individuals passing this multiple choice exam are licensed to sell a limited set of securities products: Mutual funds; Closed-end funds on the initial offering only; Unit investment trusts; Variable ...
The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]
New attempted felony murder charge for Ryan Routh, accused of ...
Learn more in our guide to auto insurance coverage when lending your car. Sources New Study: NSC Online Training Leads to 70% Decrease in Violation Rates , National Safety Council.
Matthew Tkachuk scored twice, Sergei Bobrovsky made 26 saves and the Florida Panthers beat the Minnesota Wild 6-1 on Wednesday night. Aaron Ekblad added his second goal of the season to go with ...
Investment banking has also been criticized for its opacity. [51] However, the lack of transparency inherent to the investment banking industry is largely due to the necessity to abide by the non-disclosure agreement (NDA) signed with the client. The accidental leak of confidential client data can cause a bank to incur significant monetary losses.