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. FA Profession

    This Big Expense Can Ruin a Retirement

  2. Financial Advisor

    Do This Before You Switch Financial Advisors

  3. Choosing an Advisor

    The Difference Between Fee-Only & Fee-Based Planning

  4. Career / Compensation

    Could Technology Force You Into Early Retirement?

  5. High Net Worth Living

    High Net Worth Investors Are Worried About Cybersecurity

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