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: Dec 16, 2025

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Question 1

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 2

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 3

What are key factors to consider when evaluating potential buyers?

A : All of the above

B : Ability to pay

C : Potential synergies

D : Strength of currency

Answer: A

Question 4

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 5

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

Page: 1 / 15

Total 75 Questions | Updated On: Dec 16, 2025

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