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FINRA Exams: The Series 79 Vis-a-Vis Series 82 Exam

FINRA Exams: The Series 79 Vis-a-Vis Series 82 Exam

FINRA, an acronym for Financial Industry Regulatory Authority, is a non-governmental, independent authority that governs registered brokers and broker/dealer firms in the USA. This body writes and enforces the rules that the securities dealers must abide by. In order...

Why Is Compliance So Critical in Investment Banking?

Why Is Compliance So Critical in Investment Banking?

Compliance is one of the most vital aspects of any business, and simultaneously one of their biggest challenges. Non-compliance has many consequences, ranging from monetary losses to even imprisonment. In fact, in 2020, three major U.S. banks—Goldman Sachs, Wells...

When to Consider Hiring an Investment Banking Firm

When to Consider Hiring an Investment Banking Firm

According to research, up to 64% of small businesses struggle financially. Working with a qualified professional is essential if you want to invest your money. A certified broker dealer can help you make wise investment choices and ensure that your money works for...

4 Perks to Working with a Broker Dealer

4 Perks to Working with a Broker Dealer

When it comes to investing, many options are out there. You can go the do-it-yourself route or work with a broker-dealer. But who is a broker-dealer? Broker-dealers are investment companies in buying, selling, and servicing investment products for clients....

Tips for Prepping for a Broker Dealer Exam

Tips for Prepping for a Broker Dealer Exam

The United States is not at a loss for investment agencies - over 17,000 of them are in the country. Yet, there are only a handful of big-name companies you've likely heard of before: Morgan Stanley, Merrill Lynch, Goldman Sachs - the list goes on and on. Since the...

How Do You Get a Series 79 License?

How Do You Get a Series 79 License?

A Series 79 license is also called the Investment Banking Representative Examination (IB). This exam allows individuals to register with FINRA so they can provide advice or facilitate many operations. These operations include mergers, acquisitions, financial...

What You Need to Know About Mergers & Acquisitions

What You Need to Know About Mergers & Acquisitions

Mergers and acquisitions are some of the most common corporate actions. There have been about 1,000 merger and acquisition deals in the United States in April and June 2021. Nevertheless, mergers and acquisitions can be very confusing if you're dealing with them for...

What is a PIPE Transaction?

What is a PIPE Transaction?

What is Private Investment in Public Equity? A PIPE transaction, or private investment in public equity, is the practice of buying shares of publicly traded stock at a price under the CMV (current market value) per share. This is a very common practice among large...

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