Series 26

Investment Company - Variable Products Principal Exam


Series 26 Training Course

The Series 26 eXAM licensing course is CREATED TO GET YOU TO pass your licensing exam FAST! We provide the most accurate practice questions and simulated exams to make sure you are ready to take and PASS your exam!

The Series 26 is for principals will supervise individuals soliciting the purchase or sale of redeemable securities (mutual funds) registered under the Investment Company Act of 1940, variable contracts (variable annuities) and insurance premium funding programs (variable life) issued by insurance companies.

Prerequisites: Series 6 or Series 7

Exam Format: 110 multiple-choice questions

Exam Duration: 2 hours, 45 minutes

Outline of Topics Covered:

  • Hiring and Qualification - Electronic Filing Requirements for Uniform Forms and Transfer/Termination of registration Membership and Filing of Misleading Information as to Membership or Registration

  • Training of Representatives - Provides training and education on securities industry structure, rules and regulations along with product types, and broker dealer firm policies

  • Supervision - Monitors, supervises and documents the sales activities of associated persons to achieve compliance with securities industry rules and regulations and firm policies and provides feedback regarding product knowledge and performance

  • Sales Practices - Standards of conduct and prohibited activities, Regulatory requirements related to personal trading, and have awareness of Regulatory requirements to manage conflicts of interests

  • Business Processing and Record keeping Rules - Supervises the broker dealer firm’s operational processes for compliance with FINRA and SEC regulatory requirements related to the opening and ongoing maintenance of customer accounts

  • Red flags and escalation requirements upon discovery of suspicious or prohibited activities by the broker dealer or by the customer

The full study course includes all of the resources you need to pass the Series 26 on the first attempt with full support. Planning your exam preparation is made simple with our specialized study calendar that schedules daily tasks based on your study time frame and exam date. Begin preparing for your exam with units in the License Exam Manual for a comprehensive overview covering all aspects of the exam. Practice your test-taking skills and focus on areas of weakness after each unit with quizzes. Use the Video test help Library for additional clarification on exam topics you may be having trouble understanding. Finally, test your performance with our Practice Exam for a final review before the actual exam

The Self Study Course Includes:

  • Exam Study Calendar

  • Study Prep Exam Text Book in print and PDF Formats

  • Computer Tests - Online Exams to prepare you for the actual Series 26 exam with updated and accurate practice test questions

  • Video Course Library

  • Checkpoint Exams

  • Midterm Exam

  • Practice Tests

  • Exam Tips & Course Content Updates