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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...

Strategies for Passing Your FINRA Licensing Exams

Strategies for Passing Your FINRA Licensing Exams

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...

Your Questions About Broker Dealers Answered

Your Questions About Broker Dealers Answered

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...

A Guide to FINRA Investment Banking Licensing

A Guide to FINRA Investment Banking Licensing

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...

3 Steps to Obtaining Your Series 82 License

3 Steps to Obtaining Your Series 82 License

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...

4 Tips for Securing a Broker Dealer Sponsorship

4 Tips for Securing a Broker Dealer Sponsorship

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...

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