10 free Series 79 practice questions in the real exam format, covering the official content areas, with an explanation for every answer.
Series 79 Practice Test 4Tutor mode
Question 1 of 10
Mergers and Acquisitions (M&As), Tender Offers and Financial Restructuring Transactions
A member firm is issuing a fairness opinion that it knows will be described to the company's public shareholders. Which of the following must it disclose under FINRA's fairness opinion rule?
I. Whether it will receive compensation contingent on completion of the transaction
II. The dollar amount of its advisory fee
III. Material relationships with any party in the past two years for which it received or expects compensation
IV. The names of the members of its fairness committee