Series 79: Transactions Exempt From The Registration Requirements Of The ’33 Act

Taken from our Series 79 Top-off Online Guide

Transactions Exempt from the Registration Requirements of the ’33 Act

In the previous section, we discussed securities that are exempt from registration under Section 3 of the Securities Act. In this section, we discuss transactions that are exempt from registration under Section 4 of the Act, primarily private placements.

+ Read More

More Series 79 Info

What are people saying?

Create an Account

Since you're reading about Series 79: Transactions Exempt From The Registration Requirements Of The ’33 Act, you might also be interested in:

Series 51 - Exercise

Series 51 - New Issue Data Submissions (MSRB Rules G-34 and G-32)

Series 7 - 1.4.1. Warrants

Series 66 - Other Provisions

Series 66 - 4.1.1 Individual and Joint Accounts

Series 99 - 2.1.4.5.3 Due-Bills and Due-Bill Checks

Series 66 - Balance Sheet

Series 65 - 2.7.2 Equipment Trust Certificates (ETCs)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Passed the Series 79, was really difficult but the materials prepared me well. Was passing the practice exams with mid 80's to high 90's the last two days. Highly recommend using Solomon.

Natasha Trilli, Ocean Park. Houston, TX

Fantastic prep for my Series 79 -- and I passed again!! Thank you Solomon!

Paul Werp, Connected Vision Advisors. Mountain View, CA

I just passed the FINRA Series 79 exam!! I only used Solomon Exam Prep. I recognized the material that came up during the exam and felt comfortable all the way through!! That you all for your help!!

Walter Whitehead FNEX Capital. Los Angeles, CA

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

I used Solomon Exam Prep for both my Series 79 and 63, and was extremely happy with my passing results! Their system is excellent, and the exam simulator is on target. I recommend that once you've taken several full practice exams, you return to the underlying material to read it again - this helps all the details "click." Best of luck, I'd definitely recommend Solomon.

Leah Matsil, JPMorgan Chase, New York, NY