Posts by John Jessee, Jr.

Broker-Dealers:  What Is the Series 79 Exam?

Broker-Dealers: What Is the Series 79 Exam?

For broker-dealers, a Series 7 license allows them to sell corporate stocks and bonds and a range of other securities, such as municipal bonds and mutual funds. But if they intend on pursuing investment banking activities, as well, they need another license: the...

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