Collection, Analysis, and Due Diligence

The first Series 79 chapter is the largest because investment-banking activity begins with information gathering and interpretation. Before a deal can be structured or launched, the representative needs to collect the right information, understand what it means, and test whether it is reliable enough to support recommendations and disclosure.

Read this chapter as the analytical foundation of the exam. Start with what information is gathered, then move into how it is evaluated, and finish with the due-diligence discipline that supports investment-banking work product.

In this section

• Collection of Data
  Learn how Series 79 tests information gathering in investment banking, including issuer, market, financial, and transaction data collection.
• Analysis and Evaluation of Data
  Review how Series 79 tests interpretation of financial, market, and transaction data in valuation and deal analysis.
• Due Diligence Activities
  Study the due-diligence process on Series 79, including verification, disclosure support, workstream coordination, and risk identification.