Free FINRA Series-79 Practice Exam Questions and Answers 2026

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Total 75 Questions | Updated On: Apr 03, 2026

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Question 1

What are NYSE and Nasdaq listing requirements?

A : Requirements for companies seeking to go public

B : All of the above

C : Requirements for companies seeking to remain listed

D : Rules governing the listing of securities on these exchanges

Answer: B

Question 2

What is the purpose of a proxy statement or prospectus in an M&A transaction?

A : To solicit shareholder approval

B : To provide information to shareholders

C : To comply with regulatory requirements

D : All of the above

Answer: D

Question 3

What is the balance sheet?

A : A statement of a company-s financial position

B : A statement of a company-s cash flows

C : A statement of a company-s income and expenses

D : A statement of a company-s assets and liabilities

Answer: A

Question 4

What are the tasks associated with private placements that are unique to private placements?

A : Preparation of private offering documents

B : Procurement of non-binding commitments

C : Determining eligibility of interested investors

D : All of the above

Answer: D

Question 5

What are key factors to consider when evaluating potential buyers?

A : All of the above

B : Ability to pay

C : Potential synergies

D : Strength of currency

Answer: A

Page: 1 / 15

Total 75 Questions | Updated On: Apr 03, 2026

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