Wednesday, September 2, 2009
Effective November 2, 2009, the NASD Rules will require individuals whose activities are limited to investment banking and principals who supervise such activities to pass the new Limited Representative - Investment Banking Qualification Examination (Series 79 Exam). This exam may be taken in lieu of the Series 7 Exam for persons whose activities are limited solely to investment banking activities. Individuals who have already passed the Series 7 Exam may "opt in" to the new investment banking registration category by May 3, 2010. Please refer to FINRA Regulatory Notice 09-41 for the full details.
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