Series 79: Function 2

Taken from our Series 79 Top-off Online Guide

Function 2

Underwriting/New Financing Transactions, Types of Offerings and Registration of Securities

Roughly 25% of the Series 79 exam—20 out of 75 questions—is devoted to the important underwriting and capital raising functions of investment banks. This subject area focuses on securities laws and SEC regulations, and encompasses public offerings (including IPOs), underwriting syndicates,

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Solomon Exam Prep Study Materials for the Series 79
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