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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...

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...

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 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...

All financial professionals who wish to work in investment banking are first required to pass FINRA licensing exams. These include the Securities Industry Essentials (SIE) exam, a Series 79 exam, and will need a sponsorship from a self-regulatory agency or member firm...

You may not know it, but you may be using a broker dealer every day. This is because broker dealers are the companies that buy and sell stocks, bonds, and other investments on behalf of clients. Since, 2000, there have been 5,432 IPOs which the process where stocks of...

Becoming a registered investment banker is not an easy feat. Luckily, the process of receiving a FINRA investment banking license is fairly straightforward. Let's take a look at the process in more detail. What Certifications Do I Need? To obtain a FINRA investment...

Many financial advisors getting started on their careers face the same conundrum: passing the SIE exam and additional FINRA or NASAA series examination before acquiring a license to practice. FINRA broker dealer exams require a sponsorship, where an active, reputable...

The recent unexpected economic downturn due to the pandemic has left businesses fighting to survive. More than 64% of small businesses are struggling financially. The demand for financial advisory services has never been higher as executives search for ways to carry...

The independent financial advisory space is expanding at an unprecedentedly fast pace. The demand for investment banking services continues to grow as individuals and businesses try to charter new ways to deal with increasingly volatile markets and unforeseen economic...