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Do investment banking professionals need any sort of license to work in the investment banking industry?

by Investment Banking Trainer on

Investment Banking CertificationQuestion: Do investment banking professionals need any sort of license to work in the investment banking industry?

Answer: As opposed to fields such as law, medicine, and even accounting, investment banking is not typically associated with any sort of industry licensing. The only relevant certifications that some investment bankers choose to pursue are the Series 7 and/or Series 63 exams. Series 63 is associated with the North American Securities Administrators Association and the Financial Industry Regulatory Authority (FINRA); it qualifies candidates as securities agents.  Series 7 is maintained by the Financial Industry Regulatory Authority (FINRA) and is the required exam to become a registered representative of a broker-dealer in the United States. There are some legal requirements surrounding the offering of securities to investors, but lawyers are used for the relevant tasks on these deals.

Self-Paced Investment Banking Training  If you want to complete a self-paced investment banking training or certification program please take a few minutes to explore our investment banking certification program called the Certified Investment Banking Associate (CIBA).  This program completed online and it is offered through the G.T.C. Institute, LLC’s platform at BusinessTraining.com.

Read More Frequently Asked Financial Analyst Career Questions

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