Posts Tagged ‘Series 79’

SEC Approves Rule Change for New Investment Banker Registration Category and New Series 79

Good news for investment bankers, financial intermediaries and business brokers — there is finally an NASD exam and registration tailored to your work. Rather than having to meet the requirements of the Series 7 license, the Securities and Exchange Commission has approved a rule change creating a new “Limited Representative — Investment Banker Registration” category […]