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SEC / FINRA / state securities regulators

Series 79 exam study map for investment banking representatives

How Series 79 study fits private placements, public offerings, M&A, restructuring, SIE pairing, and investment banking representative evidence.

Exam focus

FINRA Investment Banking Representative Exam context for broker-dealer capital raising and M&A roles.

Who this helps

  • - Investment banking representative candidates
  • - Placement agent teams
  • - Capital raising staff
  • - Corporate finance compliance reviewers

Why this matters

  • - FINRA states Series 79 assesses competency for investment banking representatives.
  • - The official page includes debt and equity offerings through private placement or public offering, mergers and acquisitions, tender offers, and restructurings.
  • - Transaction compensation and solicitation facts make the exam route inseparable from broker-dealer registration analysis.

Study map

Deal workflow

  • - Study data collection, analysis, valuation, new financing transactions, offering types, registration, M&A, tender offers, and financial restructuring.
  • - Map topics to mandate letters, due diligence, offering documents, investor communications, closing steps, and books and records.

Broker-dealer evidence

  • - Keep SIE, Series 79, Form U4, business-line approvals, compensation, principal supervision, and communications-review evidence together.
  • - Check whether Series 24 principal coverage and state agent law exams are needed for the proposed role.

Licensing tie-in

  • - Series 79 supports an investment banking representative route at a broker-dealer; it is not a standalone finder permission.
  • - Private placement and capital raising applications should evidence investor eligibility, solicitation controls, compensation, conflicts, and deal review.
  • - Corporate finance advice, fund marketing, adviser activity, and issuer exemption facts should be checked separately.

Booking and sponsorship

  • - Use FINRA's Series 79 page for current content outline and SIE pairing context.
  • - Confirm member-firm sponsorship before treating the exam window as realistic.
  • - Keep result evidence with deal procedures, WSPs, registration records, and register checks.

Verify before studying

  • - Whether the person will solicit investors, advise issuers, structure offerings, or only provide internal analysis.
  • - Whether the role sits inside a FINRA member broker-dealer or another business model.
  • - Whether Series 24, Series 63, Series 82, or adviser/finder analysis also applies.

Common mistakes

  • - Using Series 79 to justify success-fee activity outside a broker-dealer route.
  • - Forgetting SIE and sponsorship.
  • - Ignoring conflicts, offering documents, communications, and due diligence evidence.

Disclaimer

Information on LicenseCompare is for general educational purposes only and does not constitute legal, regulatory, financial, tax, investment, or professional advice. Licensing requirements depend on facts and change over time. Always consult official regulator materials and qualified professional advisers.