Investment License Exam

Candidates must get 94 of the 130 questions correct to pass a score of 72 3. Debt or equity offerings public or private mergers or acquisitions tender offers financial restructuring asset sales and divestitures or corporate reorganizations.

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Candidates are given 150 minutes to complete the exam.

Investment license exam. The first step to becoming a registered investment advisor ria is to pass the series 65 uniform investment advisor law exam. The actual exam. Passing the series 6 will allow you.

The exam is made up of 75 multiple choice questions and is completed on a personal computer. Test takers are provided with a basic four function electronic. The series 79 exam the investment banking representative exam assesses the competency of an entry level registered representative to perform their job as an investment banking representative.

The series 7 is an exam and license that entitles the holder to sell all types of securities with the exception of commodities and futures. 70 for each paper. There are two modes of examination for le papers i e computer based examination cbe and paper based examination pbe.

The sc licensing examinations. The series 79 exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an investment banking representative including advising on or. The le consists of 14 papers.

To take this exam commonly referred to as the securities license you will need to be sponsored by a finra member firm or a self regulatory organization sro. The series 79 license also known as the investment banking representative examination ib allows representatives to register with finra to offer advice or facilitate any of the following. The examination syllabus structure and fee schedule are listed in below.

Ria licensing and qualifications. Candidates have 180 minutes to complete the exam. Sidc serves as a one stop examination centre for those seeking to be licensed by sc those seeking to hold a position as head of operations head of compliance or compliance officer and those who intend to be employees of registered persons who carry out the regulated activities specified in the part 1 of schedule 4 of the capital markets services act 2007.

Multiple choice questions mcq pass mark. The exam for this license is a 180 minute exam that covers the rules and regulations pertaining to registered investment advisors as well as various investment vehicles and disciplines economics. Both english and chinese.

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