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Series 79 Exam Details

The FINRA® Series 79, Investment Banking Representative Exam assesses the competency of an entry-level registered representative to perform their job as an investment banking representative and measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an investment banking representative. This includes advising on or facilitating debt or equity securities offerings through a private placement or a public offering and mergers and acquisitions.


Securities Industry Essentials (SIE) exam

75 multiple-choice questions

2 hours, 30 minutes

Outline of Topics Covered

  • Collection, Analysis, and Evaluation of Data: 49%
  • Underwriting/New Financing Transaction, Types of Offerings, and Registration of Securities: 27%
  • Mergers and Acquisitions, Tender Offers, and Financial Restructuring Transaction: 24%


Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.


Additional Details

For more exam details, including fees and passing score, please visit FINRA.


Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

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We've outlined the steps you need to take to earn the Series 79 license.

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Begin Preparing for the Series 79 Exam