Series 26 Exam Study Guide
Complete Review for the FINRA Series 26 Principal Qualification ExamBy Marie Peterson
Length10h 58m
About this audiobook
Walk into the FINRA Series 26 exam ready for every question. This complete study guide gives principal candidates a clear review of every topic the FINRA Series 26 exam tests, plus 600 original practice questions, each with a full written explanation of why the right answer is right and why each wrong choice is a trap. The review is organized by domain so you can study one area at a time and track your progress. Covers investment company products, variable contracts, supervision of representatives, registration, communications with the public, and regulatory requirements. Questions are scenario-based and written to match the depth and style of the real exam, and each explanation is in plain language to build real understanding rather than memorization. Includes 2 full-length practice exams with complete answer keys. An independent study aid, not affiliated with or endorsed by FINRA.
Audiobook details
GenreEducation and Learning
Length10 hrs 58 mins
Narrated byListen with 1,000+ voices
FormateBook with Audio
LanguageEnglish
Table of contents
1Front Matter
9Unit 6: Regulatory Framework, Recordkeeping, and 4530 Reporting
2How to Use This Book and About the Exam
10Unit 7: New Accounts, Anti-Money-Laundering, and Privacy
3Test-Taking Strategies for the Series 26
11Unit 8: Supervisory Systems, Written Procedures, Ethics, and Synthesis
4Unit 1: Investment Company Products and the Investment Company Act of 1940
12Full-Length Practice Exams (pt. 1)
5Unit 2: Variable Contracts, Separate Accounts, and Surrender
13Full-Length Practice Exams (pt. 2)
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6Unit 3: Supervision of Sales Activities, Hiring, and Registration
14Quick Reference
7Unit 4: Customer Accounts, Suitability, and Disclosure Supervision
15Conclusion
8Unit 5: Communications With the Public and Principal Approval
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