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The Securities Institute of America - SERIES 79 EXAM STUDY GUIDE 2022 + TEST BANK

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The Securities Institute of America SERIES 79 EXAM STUDY GUIDE 2022 + TEST BANK

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SECURITies INSTITUTE SECURITIES LICENSING SERIES The Securities Institute of - photo 1

SECURITies INSTITUTE SECURITIES LICENSING SERIES The Securities Institute of - photo 2

SECURITies INSTITUTE
SECURITIES LICENSING SERIES

The Securities Institute of America proudly publishes world class textbooks, test banks and video training classes for the following Financial Services exams:

Securities Industry Essentials exam / SIE exam

Series 3 exam

Series 4 exam

Series 6 exam

Series 7 exam

Series 9 exam

Series 10 exam

Series 22 exam

Series 24 exam

Series 26 exam

Series 39 exam

Series 57 exam

Series 63 exam

Series 65 exam

Series 66 exam

Series 79 exam

Series 99 exam

For more information, visit us at www.securitiesCE.com.

Copyright by The Securities Institute of America, Inc. All rights reserved.

Published by The Securities Institute of America, Inc.

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of The Securities Institute of America, Inc.

Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.

ISBN: (Paperback) 978-1-937841-60-7

ISBN ( ePub) 978-1-937841-61-4

Printed in the United States of America.

10 9 8 7 6 5 4 3 2 1

Contents

Review of Underwriting
Agreements by FINRA

About the Series 79 Exam

Congratulations! You are on your way to becoming a registered investment banking professional, licensed to perform a variety of investment banking functions for a broker dealer. The Series 79 exam will be presented in a 75 -question multiple-choice format. Each candidate will have 2 hours and 30 minutes to complete the exam. A score of 73 % or higher is required to pass. Your training materials from The Securities Institute will make sure that you have the required knowledge to pass the Series 79 and that you are confident in the application of that knowledge during the exam.

Taking the Series 79 Exam The Series 79 exam is presented in multiple-choice - photo 3

Taking the Series 79 Exam

The Series 79 exam is presented in multiple-choice format on a touch-screen computer known as the PROCTOR system. No computer skills are required, and candidates will find that the test screen works in the same way as an ordinary ATM. Each test is made up of 75 questions that are randomly chosen from a test bank of several thousand questions. The test has a time limit of 2 hours and 30 minutes, which is designed to provide enough time for all candidates to complete the exam. Each Series 79 exam will comprise questions that focus on the following areas:

Collection, Analysis and Evaluation of Data

7

Underwriting / New financing transactions and Registration of Securities

Mergers and Acquisitions, Tender offers and Financial Restructuring

TOTAL

75 questions

How to Prepare for the Series 79 Exam

For most candidates, the combination of reading the textbook, watching the video class lectures and taking practice questions proves to be sufficient to successfully complete the exam. It is recommended that candidates spend at least 70 to 80 hours preparing for the exam by reading the textbook, underlining key points, and answering as many practice questions as possible. We recommend that candidates schedule their exam no more than 1 week after finishing their Series 79 preparation.

Test-Taking Tips

  • Read the full question before answering.
  • Identify what the question is asking.
  • Identify key words and phrases.
  • Watch out for hedge clauses, such as except and not .
  • Eliminate wrong answers.
  • Identify synonymous terms.
  • Be wary of changing answers.

What Type of Transactions May a Series 79 Investment Banking Representative Engage In ?

A Series 79 registered investment banking professional may advise on or facilitate a variety of offerings and transactions including:

  • Debt and equity offerings (private placement or public offering)
  • Mergers and acquisitions
  • Tender offers
  • Financial restructurings
  • Asset sales
  • Divestitures or other corporate reorganizations
  • Business combination transactions

What Score Is NEEDED to Pass the Exam?

A score of 73% or higher is needed to pass the Series 79 exam.

Are There Any Prerequisites for the Series 79?

Candidates who wish to take the Series 79 exam must also successfully complete the SIE exam to become fully registered.

How Do I Schedule an Exam?

Ask your firms compliance department to schedule the exam for you or to provide a list of test centers in your area. You must be sponsored by a FINRA member firm prior to making an appointment. The Series 79 exam may be taken any day that the exam center is open.

What Must I Take to the Exam Center?

A picture ID is required. All other materials will be provided, including a calculator and scratch paper.

How Soon Will I Receive Results of the Exam?

The exam will be graded as soon as you answer your final question and hit the Submit for Grading button. It will take only a few minutes to get your results. Your grade will appear on the computer screen, and you will be given a paper copy at the exam center.

If you do not pass the test, you will need to wait 30 days before taking it again. If you do not pass on the second try, you will need to wait another 30 days. If you do not pass on the third try, you must wait 6 months to take the test again.

About This Book

The writers and instructors at The Securities Institute have developed the Series 79 textbook, exam prep software, and videos to ensure that you have the knowledge required to pass the test and that you are confident in the application of that knowledge during the exam. The writers and instructors at The Securities Institute are subject-matter experts as well as Series 79 test experts. We understand how the test is written, and our proven test-taking techniques can dramatically improve your results.

Each chapter includes notes, tips, examples, and case studies with key information, hints for taking the exam, and additional insight into the topics. Each chapter ends with a practice test to ensure that you have mastered the concepts before moving on to the next topic.

About the Test Bank

This book is accompanied by a test bank of hundreds of questions to further reinforce the concepts and information presented here. The test bank is provided to help students who have purchased our book from a traditional bookstore or from an online retailer such as Amazon. If you have purchased this textbook as part of a package from our website containing the full version of the software, you are all set and simply need to use the login instructions that were emailed to you at the time of purchase. Otherwise to access the test bank please email your purchase receipt to sales@securitiesce.com and we will activate your account. This test bank provides a small sample of the questions and features that are contained in the full version of the exam prep software.

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