Series 79 Exam

An exam administered by the Financial Industry Regulatory Authority (FINRA). Completion of the Series 79 Exam is intended to identify the competency of an entry-level investment banker. The exam focuses on topic areas intended to measure the knowledge, skills and abilities that an investment banker needs to perform, in accordance with principals of trade, federal and state laws and industry regulations.

Exam Details

Time Limit: 5 hours
Cost: $290
Number of Questions: 175, plus 10 "pre-test" questions
Passing Score: Pass/Fail
Format: Multiple Choice
Prerequisites: Sponsorship by a FINRA member
Exam Date(s): Any day of the week, excluding Sundays
Exam Locations: Find your U.S. or international exam center here

Exam Topic Weights

Series 79 Exam Topic Weights By Section

Financial Professionals
  1. Financial Advisor

    How to Give Clients the Right Portfolio Perspective

  2. FA Profession

    To Roll a 401(k) Over or Not: Guiding Clients

  3. Investing Strategy

    Traps That Lead to Market Underperformance Part I

  4. FA Profession

    The Fiduciary Rule and Its Impact on Mutual Funds

  5. FA Profession

    Why Advisors Should Offer HSA Advice

Trading Center