Series 79: Function Two

Taken from our Series 79 Online Guide

Function Two

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

About 27% 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), underwriti

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