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: Apr 27, 2026

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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 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 3

What is the purpose of preparing, negotiating, and finalizing the engagement letter?

A : All of the above

B : To establish the terms of the relationship between the investment bank and the seller

C : To outline the scope of services to be provided

D : To determine the fees to be charged

Answer: A

Question 4