Series 79: Regulatory Requirements

Taken from our Series 79 Top-off Online Guide

Regulatory Requirements

The conduct of due diligence is not as heavily regulated as many other activities that investment bankers undertake. Still, you should be aware of several regulatory requirements that potentially affect due diligence.

+ Read More

More Series 79 Info

What are people saying?

Create an Account

Since you're reading about Series 79: Regulatory Requirements, you might also be interested in:

Series 65 - 1.3.3. Foreign Exchange and International Investing

Series 22 - 1.2.5. Government and Agency Debt Securities

Series 7 - Chapter 11 Practice Questions

Series 14 - Chapter 1 Practice Questions

Series 82 - Liquidity Risk

Series 66 - Assets

Series 54 - Exercise

Series 65 - Income Bonds

Series 7 - 3.6.23 Rule G-23—Activities of Financial Advisors

Series 24 - Clearly Erroneous Transactions

Series 66 - Call Provisions

Series 50 - Exercise

Series 54 - Overview of U.S. Securities Regulation

Series 24 - Levels of Nasdaq Service

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

I felt well prepared. Exam experience went well. The exam prep content was spot on! I had studied previously under a different exam prep course and felt the content was not doing the trick. I was not prepared and needed to rethink my study approach. Luckily after taking the Solomon course I felt completely different and very prepared! The dashboard, lectures and specific detail to the areas where I needed improvement helped me pass the test! I felt so confident thanks to the preparation process and content Solomon provided. Thank you!! It was a great experience preparing with Solomon!

Brady Johnson, Herbert J. Sims & Co., Inc., Fairfield, CT

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

I just passed the FINRA Series 79 exam!! I only used Solomon Exam Prep. I recognized the material that came up during the exam and felt comfortable all the way through!! That you all for your help!!

Walter Whitehead FNEX Capital. Los Angeles, CA

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.