Securities Exam Preparation, Inc., established in 1972

Publishing and Professional Information Services

We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.

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Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 26 Exam | Investment Company and Variable Contracts Products Registered Principal

The Series 26 limited principal registration is for those who will manage or supervise representatives whose activities are limited to the offer, sale, or purchase of mutual funds, closed end funds, or the sale of variable annuity contracts. Some states require this exam for investment advisor registration.

Prerequisite Series #7 or Series #6 $95 test fee (Form U-4) 2.5 hour time limit


 Test Topics

Approximate Test Questions

Hiring and Qualifications 11
Training of Representatives 19
Supervision 24
Sales Practices 32
Business Processing and Recordkeeping Rules 24
Total 110 questions

Series 26 Exam Study Text & CD of Final Exams

series 26


and CD of Final Exams

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CD is
Windows Only!

The Series 26 exam study program has 500+ pages (including all the pages devoted to quizzes and exams) and gives you a concise explanation of every topic, section, and sub-section of the exam -- according to the FINRA (NASD) study outline.
The newly revised study materials are in a page format that is easy-to-read and gets right to the key points -- then you practice exam-tough questions!

The Series 26 study book has 6 key sections with quizzes and explanations -- then you practice SIX Final Tests -with "exam-tough" questions.

Over 1000 Series 26 simulated exam questions in total! Nice.

The questions on the CD tell you immediately if you are right or wrong -- and then a complete rationale is given. The data bank of questions expires after a set time limit .... but more than enough time is allowed to prepare you for the exam!

The Windows-only CD, designed by Jack C. Keir, Inc., contains the Final Test questions with detailed explanations.

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