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Series 79 Top-Off Exam flashcards

Series 79 (VKM)

This class was created by Brainscape user Victoria Mercer. Visit their profile to learn more about the creator.

By: Victoria Mercer
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Decks in this class (3)

Section 1
What is a form 8 k when is it filed,
What is a 10 q what is included,
What is a form 10 k what is included
128  cards
Section 2
No person may sell an equity secu...,
Finra rule 5110 corporate financi...,
After an ipo broker dealers must ...
59  cards
Section 3
To whom is a fairness opinion ren...,
What is a qualified stock purchas...,
What is a reverse triangular merger
10  cards

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Series 79 (VKM)

  • Class purpose General learning

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