Free FINRA Series-79 Exam Questions

Become FINRA Certified with updated Series-79 exam questions and correct answers

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Total 75 Questions | Updated On: Jun 06, 2025

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Question 1

What is the purpose of a proxy statement or prospectus in an M&A transaction?

A : To solicit shareholder approval

B : To provide information to shareholders

C : To comply with regulatory requirements

D : All of the above

Answer: D

Question 2

What are the tasks associated with private placements that are unique to private placements?

A : Preparation of private offering documents

B : Procurement of non-binding commitments

C : Determining eligibility of interested investors

D : All of the above

Answer: D

Question 3

What are NYSE and Nasdaq listing requirements?

A : Requirements for companies seeking to go public

B : All of the above

C : Requirements for companies seeking to remain listed

D : Rules governing the listing of securities on these exchanges

Answer: B

Question 4

What is the balance sheet?

A : A statement of a company's financial position

B : A statement of a company's cash flows

C : A statement of a company's income and expenses

D : A statement of a company's assets and liabilities

Answer: A

Question 5

What are the tasks associated with private placements that are unique to private placements?

A : Preparation of private offering documents

B : Procurement of non-binding commitments

C : Determining eligibility of interested investors

D : All of the above

Answer: D

Page: 1 / 15

Total 75 Questions | Updated On: Jun 06, 2025

Add To Cart