Free Series 26 Exam Prep
Investment Company and Variable Contracts Products Principal Qualification Examination
Prepare for the Series 26 exam without spending hundreds on expensive prep courses. Free study guides, practice questions, flashcards, and related exam resources.
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Series FINRA Series Exams License: Complete Roadmap
Follow this path to organize your licensing and exam preparation
Personnel Management and RegistrationYou are here
Study Forms U4 and U5, CRD system operations, registration requirements, continuing education under Rule 1210, background checks, and branch office registration. This is 30% of the exam.
Supervision of Sales
Master written supervisory procedures under Rule 3110, account review requirements, correspondence supervision, outside business activities (Rule 3270), private securities transactions (Rule 3280), and suitability oversight (Rule 2111). This is the largest section at 40%.
Sales Practices
Study communications with the public under Rule 2210, mutual fund sales including breakpoints and sales charges, variable annuity suitability and exchanges under Rule 2330, and the Investment Company Act of 1940. This is 15% of the exam.
Business Processing and Recordkeeping
Learn record retention requirements under SEC Rule 17a-4, trade confirmations, customer complaint handling, AML and CIP procedures under the Bank Secrecy Act and USA PATRIOT Act, and account transfer procedures. This is 15% of the exam.
Practice Exams and Final Review
Take full-length timed practice exams and review weak areas. Focus on supervisory scenarios and FINRA rule applications. Aim for 80%+ on practice tests before scheduling.
Can You Take the Series 26 Exam?
Check if you meet the basic eligibility requirements
- •Must have passed the SIE exam
- •Must have passed Series 6 or Series 7
- •Must be associated with a FINRA member firm
- •Firm sponsorship required for registration
Series 26 Quick Facts
Time to Get Licensed
4-6 weeks typical
From start to license in hand
Retake Policy
30-day wait after 1st and 2nd failures, 180-day wait after 3rd failure and beyond. No limit on total attempts.
Total Cost Breakdown
Free Series 26 Prep Tools
Reported exam pass rate: ~50-60%. These figures describe exam candidates, not OpenExamPrep user outcomes. Check the exam sponsor’s website for published statistics.
207+ Practice Questions
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AI Tutor Explains Mistakes
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Independent Study Resources
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What You'll Study
12 chapters covering the exam topics in this guide
Chapter 1: Registration of the Broker-Dealer and Its Associated Persons
5 sections
Chapter 2: Training, Continuing Education, and Product Knowledge
5 sections
Chapter 3: Supervisory System, Conduct Standards, Insider Trading, and Discipline
3 sections
Chapter 4: Communications with the Public
4 sections
Chapter 5: Recommendations, Customer Accounts, and Product Sales Supervision
6 sections
Chapter 6: Compensation, Outside Activities, and Personal Conduct
6 sections
Chapter 7: Customer Account Operations, Transfers, and Privacy
4 sections
Chapter 8: Anti-Money Laundering, Customer Identification, and Sanctions
3 sections
Chapter 9: Supervisory Controls, Business Continuity, and Regulatory Reporting
3 sections
Chapter 10: Office Classifications, Inspections, and Records
3 sections
Chapter 11: Complaints, Arbitration, Mediation, and Expungement
3 sections
Chapter 12: Financial Responsibility, Membership Changes, and Investor Protection
4 sections
Series 26 Exam Details
Investment Company and Variable Contracts Products Principal Qualification Examination
Administered by FINRA
Exam Content Breakdown
Based on the official FINRA content outline
Form U4/U5 filings, CRD system, registration requirements, continuing education, background checks, branch office registration
Written supervisory procedures, Rule 3110, account reviews, correspondence supervision, outside business activities, suitability oversight
Communications with the public, mutual fund sales, variable annuity suitability, breakpoint disclosure, sales charge limitations
Record retention requirements, confirmations, customer complaints, AML/CIP procedures, account transfers
What's Included
12 Chapters
Complete exam coverage
Practice Quizzes
With detailed explanations
Free to Start
No credit card required
Quality Exam Prep Shouldn't Cost Hundreds
I'm Ran Chen, an engineer with 20+ years of coding experience. I passed my Life Insurance license, EA exam, SIE, Series 6, 63, 65, and finally the CFP® exam.
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What's Next After the Series 26?
After passing the Series 26, you can pursue these career paths
Series 26 Exam FAQ
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