Investment Company and Variable Contracts Products
Registered Principal
The Series 26 exam is a limited principal registration 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.The prerequisite for the Series 26 exam is having passed either the
Series 7 or the Series 6 exam. Study materials include a manual and CD Rom of
practice questions.
$75.00 test fee (Form U-4) 2.5 hour time limit
The Series 26 exam covers the following topics:
Series 26 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 |
Securities Exam Preparation, Inc. is a consulting
organization specializing in self-study programs for FINRA(NASD) test preparation
-- and in coordinating registration services for Investment Advisors, Broker
Dealers, Commodity Trading Advisers, and Introducing Brokers.
|
