The Series 79 exam, also known as the Investment Banking Representative Exam, is taken by many financial professionals, including investment bankers. Those who pass the exam ability can advise clients ...
The Series 82 gives its holder the authority to conduct private securities transactions, among other activities. The exam is also known as the Private Securities Offerings Representative Exam. Private ...
The proposed rules, FINRA Rules 1210-1240 (the “Proposed Rules”), will adopt and consolidate, with amendment, certain National Association of Securities Dealers (NASD) and New York Stock Exchange ...
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