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Category: Series 26 Exam Prep


How To Pass The Series 26 Securities Exam

By Securities Institute Staff
How to Pass the Series 26 Examand become an Investment Company Products/Variable Contracts Limited principal What is the best way to prepare for the Series 26 exam?We get asked this question all the time. The answers is that, while everyone learns in a different way, there are certain steps that everyone must take to pass... "How To Pass The Series 26 Securities Exam"

Supervision of retail communication

By Securities Institute Staff
In this article we are going to review a significant amount of information relating to the supervision of retail communications.  As you prepare to take your principal level exam, you  will want to make sure that you have mastered these topics. This information has been taken directly from our textbooks, video lectures and feedback from... "Supervision of retail communication"

SEC customer classification

By Securities Institute Staff
The SEC requires broker dealers to adhere to strict financial responsibility rules. These rules include the customer protection rule 15c3-3 and the net capital rule 15c3-1. The net capital rules have always been part of the Securities Exchange Act of 1934 and require broker-dealers to maintain a minimum level of financial solvency.  The more complex... "SEC customer classification"