Steps to Become a Broker Dealer

Steps to Become a Broker Dealer

As a broke-dealer, you can either choose to work as an independent business or under a larger financial firm. Regardless of which route you choose, you will need to follow several steps before you can be a broker-dealer. These steps are put in place to ensure that you...
The Series 79 Exam: An Overview

The Series 79 Exam: An Overview

The Investment Banking Representative Qualification Examination, also known as Series 79, is an essential test for broker dealers. Since 2018, the exam has undergone significant changes. For one thing, it includes a shorter test than can be found in the Series 7 exam....