FINRA Licensing Presentation: Series 79 and 63 Exam

This video is an overview of the FINRA Series 79 and Series 63 exams


Series 79 - Limited Representative–Investment Banking

This qualifies an individual who will perform investment banking activities in the following two areas.

1. Advising on or facilitating debt or equity securities offerings through a private placement or a public offering, including but not limited to origination, underwriting, marketing, structuring, syndication, and pricing of such securities and managing the allocation and stabilization activities of such offerings, or

2. Advising on or facilitating mergers and acquisitions, tender offers, financial restructurings, asset sales, divestitures or other corporate reorganizations or business combination transactions, including but not limited to rendering a fairness, solvency or similar opinion.


Series 63 - Uniform Securities Agent State Law Examination

The examination is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.


For more information visit the Securities Training Corporation
https://www.stcusa.com/