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The guide supports note-taking, answering questions, and completing activities, then serves as an ongoing study resource. It outlines exam structure, including multiple-choice and experimental question counts, total testing time, and the minimum passing score based on the stated number of questions. It also provides chapter content on industry terminology and data collection topics such as issuers, primary and secondary markets, securities regulation, business formation, REIT rules, and SEC 34 reporting forms.",{"@graph":69,"@context":123},[70,84,106],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/series-79-learning-guide-workbook/393595/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/series-79-learning-guide-workbook/393595.png","ImageObject",300,407,{"name":92,"@type":93},"Aria Callaghan","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-11-10","2026-09-26",true,{"@type":102,"interactionType":103,"userInteractionCount":105},"InteractionCounter",{"@type":104},"ViewAction",21,{"@type":107,"mainEntity":108},"FAQPage",[109,115,119],{"name":110,"@type":111,"acceptedAnswer":112},"What is the Series 79 Learning Guide used for during the On-Demand lecture?","Question",{"text":113,"@type":114},"Use the guide to take notes, answer questions, and complete activities as the instructor presents the material through the On-Demand lecture.","Answer",{"name":116,"@type":111,"acceptedAnswer":117},"How is the Series 79 exam structured in terms of question types and time?",{"text":118,"@type":114},"The exam includes 85 multiple-choice questions and 75 plus 10 experimental questions, with two and a half hours (150 minutes) allotted in total.",{"name":120,"@type":111,"acceptedAnswer":121},"What topics are covered in Chapter 1 of the learning guide?",{"text":122,"@type":114},"Chapter 1 covers industry terminology and data collection, including types of issuers and securities, primary and secondary trading markets, regulation, business formation, REIT basics and tests, and SEC 34 reporting forms and timing.","https://schema.org",{"og:url":83,"og:type":125,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":127,"canonical":83},"index,follow",{"doc_id":129,"site_id":62},393595,1791128105,{"code":4,"msg":5,"data":132},{"doc_id":129,"user_id":133,"nickname":92,"user_avatar":134,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":105,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":62,"language":140,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":67,"update_tm":144,"read_time":145,"preview_page_count":4},962084926284,"https://ap-avatar.wpscdn.com/davatar_29158cc5080c5b710cf443261637dec0","Series 79  \nInvestment Banking Representative  \nLearning Guide / Workbook  \nHow to Use This Learning Guide  \nAs the instructor presents the material through the On-Demand lecture, use this Learning Guide to take notes, answer questions, and complete activities. Once the On-Demand program is complete, this Learning Guide can be used as an ongoing resource.  \nAbout the Series 79 Exam  \n\n| 1 |  | 2 |  | 3 |  | 4 |\n| --- | --- | --- | --- | --- | --- | --- |\n| 85 MULTIPLE-CHOICE QUESTIONS |  | 75 PLUS\u003Cbr>10 EXPERIMENTAL QUESTIONS |  | TWO AND A HALF HOURS (150 MINUTES) ALLOTTED |  | MINIMUM\u003Cbr>REQUIRED PASSING SCORE IS 73%(BASED ON 75 QUESTIONS) |\n\n\n| SECTIONS | CHAPTERS | \\# OF QUESTIONS |\n| --- | --- | --- |\n| Collection, Analysis, and Evaluation of Data | 8, 9, and 10 | 37 |\n| Underwriting/New Financing Transactions, Types of Offerings, and Registration of Securities | 1, 2, 3, and 4 | 20 |\n| Mergers and Acquisitions, Tender Offers, and Financial Restructuring Transactions | 5, 6, and 7 | 18 |\n| Total |  | 75 |\n\n© Copyright 2024. All Rights Reserved. v13  \nThe following presentation is owned by Securities Training Corporation and is protected by the United States Copyright Law and applicable international, federal, state, and local laws and treaties. The presentation is made available to you for your personal, non-commercial use as a study tool to assist you in preparing for the related examination and no other purpose. ALL OTHER RIGHTS ARE EXPRESSLY RESERVED.  \nAny other use by you, including but not limited to, the reproduction, distribution, transmission or sharing of all or any portion of the presentation, without the prior written permission of Securities Training Corporation in each instance, is strictly prohibited.  \nChapter 1 – Industry Terminology and Data Collection  \nIssuers and Securities  \n\n| Types of Issuers |  | Types of Securities |\n| --- | --- | --- |\n| Issuers are legal entities that raise capital by issuing | 􀂃 | Equity – used by corporations |\n| securities. These include:\u003Cbr>􀂃 Corporations\u003Cbr>􀂃 U.S. Treasury and government agencies\u003Cbr>􀂃 State and local governments\u003Cbr>􀂃 Banks\u003Cbr>􀂃 Foreign governments | 􀂃\u003Cbr>􀂃\u003Cbr>􀂃 | • Represents ownership\u003Cbr>• Common and Preferred stock Debt (i.e. , notes and bonds)\u003Cbr>• Represent an issuer’s promise to pay Hybrid or Convertible Securities Derivatives\u003Cbr>• Rights\u003Cbr>• Warrants |\n\nThe Primary Market  \nTrading Markets and Regulation  \n\n| SECONDARY MARKET | 􀂃 Trading markets that facilitate the exchange of existing financial instruments among investors\u003Cbr>􀂃 E.g. , NYSE and Nasdaq |\n| --- | --- |\n| THIRD MARKET | 􀂃 Listed securities traded OTC |\n| REGULATION | 􀂃 Securities Exchange Commission (SEC) SROs, such as the Financial Industry Regulatory Authority (FINRA)\u003Cbr>􀂃 Securities Act of 1933\u003Cbr>􀂃 Securities Exchange Act of 1934 |\n\nBusiness Formation  \n\n| C CORPORATION | S CORPORATION |\n| --- | --- |\n| Limited liability for owners | Limited liability for owners |\n| Unlimited number of shareholders | No more than 100 shareholders (married couple considered as one shareholder)\u003Cbr>􀂃 Trust may own shares |\n| Profits subject to double taxation (taxed at both the corporate and shareholder level) | Like partnerships, avoids federal tax by passing through income and loss to shareholder based on percentage of ownership (no double taxation)\u003Cbr>􀂃 Provides a deduction of up to 20% of the pass\u003Cbr>through amount |\n| May have multiple classes of stock | Must be a domestic corporation with only one class of stock |\n\nQuestion  \nWhich of these statements are TRUE with regards to industry terminology? Circle all that apply.  \nI. The secondary market facilitates the exchange of existing financial instruments among investors.  \nII. S Corporations may have an unlimited number of shareholders.  \nIII. Trading markets are regulated by FINRA and the Securities Exchange Act of 1934.  \nIV. The underwriter in a primary market assumes liability that varies with the offering type.  \nReal Estate Investment Trust ","cbCaidd8iNGQ6pQK","https://ap.wps.com/l/cbCaidd8iNGQ6pQK","pdf",2020893,"English","# How to Use This Learning Guide\n# About the Series 79 Exam\n## Exam Structure and Scoring\n# Chapter 1 – Industry Terminology and Data Collection\n## Issuers and Securities\n## The Primary Market\n## Trading Markets and Regulation\n## Business Formation\n## Real Estate Investment Trust (REIT)\n## SEC 34 Forms\n## Timing of 10-Q and 10-K","[{\"question\":\"What is the Series 79 Learning Guide used for during the On-Demand lecture?\",\"answer\":\"Use the guide to take notes, answer questions, and complete activities as the instructor presents the material through the On-Demand lecture.\"},{\"question\":\"How is the Series 79 exam structured in terms of question types and time?\",\"answer\":\"The exam includes 85 multiple-choice questions and 75 plus 10 experimental questions, with two and a half hours (150 minutes) allotted in total.\"},{\"question\":\"What topics are covered in Chapter 1 of the learning guide?\",\"answer\":\"Chapter 1 covers industry terminology and data collection, including types of issuers and securities, primary and secondary trading markets, regulation, business formation, REIT basics and tests, and SEC 34 reporting forms and timing.\"}]","Series 79 - Learning Guide / Workbook | PDF",1790390551,265]