Series 79: 9.5.7.1. The Deal File

Taken from our Series 79 Online Guide

9.5.7.1. The Deal File

Often, investment banks organize their records into deal files. A deal file is an archive of relevant information and documentation for a specific offering. There are many good reasons to keep a deal file. Having all documentation about a specific offering in one place prevents the problem of relevant information being scattered throughout an organization’s files. This ai

+ Read More

More Series 79 Info

What are people saying?

Create an Account

Since you're reading about Series 79: 9.5.7.1. The Deal File, you might also be interested in:

Series 14 - 4.1.3.2. Introducing Broker-Dealers

SIE - Simple Options: Puts and Calls

Series 79 - 8.2.3. Electronic Delivery of Prospectuses

Series 24 - Prohibition Against Trading Ahead of Customer Orders

Series 50 - Time of Formal Award and Time of First Execution

Series 7 - Exercise

Series 24 - Sales Literature Deemed Misleading

Series 7 - Exercise

Series 63 - 5.7.13.4. Duty of Best Execution

Series 79 - 1.2. Financial Statements

Series 24 - Super Account Administration Entitlement Form

Series 63 - 1.1.2.4. Post-Registration Requirements

Series 14 - 9.3.6. Non-Interference with the Content of Research Reports

SIE - Face-Amount Certificate Companies

Series 24 - 3.4.3.1. Nontransferable Assets

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Just passed my Series 7 using Solomon Exam Prep! Have used Solomon for my Series 79 as well. Both study programs are excellent and felt well prepared sitting for my exams. Would recommend to others in the industry.

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 felt well prepared. Exam experience went well. The exam prep content was spot on! I had studied previously under a different exam prep course and felt the content was not doing the trick. I was not prepared and needed to rethink my study approach. Luckily after taking the Solomon course I felt completely different and very prepared! The dashboard, lectures and specific detail to the areas where I needed improvement helped me pass the test! I felt so confident thanks to the preparation process and content Solomon provided. Thank you!! It was a great experience preparing with Solomon!

Brady Johnson, Herbert J. Sims & Co., Inc., Fairfield, CT

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

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

The 79 test was brutal. I went in feeling really confident. I was scoring 80% on portions of your exam simulator tests, and reread all of the materials and your study guide 3 times before I went in. I had also printed all of the questions I had missed in practice, and reviewed those in the parking lot before I went in. However, I had no idea what the answer was on the first 10 questions on the exam, and that really got me stressed! Just as I moved on to a few questions that were more familiar, construction activity began immediately outside the wall I was sitting at, and continued for 2 hours. The headsets I was wearing seemed to amplify whatever harmonics were coming off of the machinery, so when I pulled them off, it actually worked better. Also the monitor was poor resolution and old, which made it more difficult to focus. 2.5 hours in I had a splitting headache, and was certain I would not complete the exam and/or would get less than ½ right. The construction finally let up, and I blazed through the rest of the exam and had 45 minutes to go back through my marked answers. At least half were marked, and I got through about 2/3's of those before time ran out. The 2 minutes it took to compute my score seemed like an eternity. I was figuring I did reasonably well on Collection/Analysis and M&A since I do that for a living and was very comfortable with the subject matter, and completely bombed the underwriting and regs. My score (miraculously) was an 80%. Your exam simulator and study notes for the Series 79 were great. They gave me the spot-on practice I needed to prepare for the exam. Even more impressive was your team's extraordinary support and responsiveness as I prepared for this difficult exam. In the final days ahead of the test, you immediately addressed questions and concerns, and gave me the confidence and focus I needed to pass the exam on the first try.

Bob Forbes, Denver, CO