FINRA Series 79: Investment Banking Representative Examination (IB) Prep

The Series 79 Exam is required by FINRA for representatives who will engage in investment banking activities, including advising on or facilitating debt or equity offerings through private placements or public offerings, and advising on or facilitating mergers and acquisitions, tender offers, financial restructurings and asset sales.

Number of Questions: 175 scored question (plus 10 ungraded experimental questions).
Exam Structure: 1 session covering all topics. All questions are multiple choice.
Prerequisites: None
Time to Complete: 5 hours
Passing Score: 73%; 128 questions
Recommended Study Time: 100 hours

SERIES 79 EXAM – AT A GLANCE

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SERIES 79 EXAM BREAKDOWN

Description (and examples of testable concepts) Number of Questions Textbook Chapters
Collection, Analysis, and Evaluation of Data
  • Sourcing data
  • Debt and equity securities
  • Working with profit multiples (e.g., P/E)
  • Working with equity value, enterprise value, and book value
75 1, 4, 5, 6, 7
Underwriting/New Financing Transactions, Types of Offerings, and Registration of Securities
  • Filing a registration statement
  • SEC filings
  • Securities underwriting
  • Exemptions from registration
43 2, 3, 9–14, 16
Mergers and Acquisitions, Tender Offers, and Financial Restructuring Transactions
  • Order of documents in M&A deal
  • Information found in definitive agreement and fairness opinion
  • Dutch auction tender offer
  • Section 363 sale
34 8, 15, 17
General Securities Regulation
  • Insider trading
  • Continuing education
  • Outside employment
  • Equity research
23 18, 19
Total 175

The passing score for the Series 79 Examination is 73%

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