Series 26 Exam Prep Products

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work with a Series 26 Exam tutor to increase your score by an average of 10 points

This is our most comprehensive series 26 training solution. Everything you need to pass the series 26 exam, complete with our series 26 money back GreenLight Guarantee Purchase all the Series 26 products in one package and save big. If you are serious about passing the Series 26 exam, then this package is for you. It includes ALL of the following exam preparation products:

  • Textbook - 351 pages
  • Practice Exams - 850 questions
  • Online Video Class - 11 hours
  • Ebook
  • Free Shipping
  • Updated March 2020
  • Unlimited access to videos and test bank for 6 months
Series 26 Complete Self Study Solution play button

Purchase both the Textbook and Exam Prep software - all in one package. This is one of our more popular deals and includes:

  • Textbook - 358 pages
  • Practice Exams - 850 questions
  • Free Shipping
  • Updated March 2020
  • Unlimited access to test bank for 6 months
Series 26 Textbook & Exam Prep Software

Series 26 Exam Prep

  • Over 850 questions
  • Works with all major browsers and mobile devices
  • Updated March 2020

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 26 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 26 exam.

Series 26 Exam Prep Software
  • 24 x 7 access for 6 months
  • Fully interactive

Our all new series 26 video class is hands down the best series 26 online class in the market today. Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight test points for easy note taking. This video class walks you through all of the topics you need to know to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 26 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 26 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 26 video features include: 1) 11 hours of HD video broken into 8 sections 2) Over 1.5 hours on mutual funds, more than 3 hours on customer recommendations and rules and regulation. 3) Our videos are accessible on all devices ( all computers, phones and tablets) 4) Our series 26 video class contains new test tips and details exactly what topics are being tested and how they are being tested 5) Our series 26 video course follows our books chapter by chapter and topic by topic 6) 8 Chapter Tests 7) Instant unlimited access 24X7 for 6 months

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Get Videos and Exam Prep Software:


  • Sample Video
  • Online - access anywhere, anytime
  • Updated December 2019
  • Paperback
  • 348 pages
  • 202 test questions
  • Updated January 2021
  • Free Shipping

The "go to guide" to acing the Series 26 exam - Our Series 26 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 26 exam. Our Series 26 textbook is packed with test tips, Series 26 sample questions all the must know information you need to pass your exam. Our Series 26 textbook has been developed to ensure you have the absolute best Series 26 material.

Series 26 Exam Textbook



  • Series 26 Sample ChapterPDF
  • Textbook Table of ContentsPDF
  • Textbook IndexPDF
  • IOS
  • Android
  • Kindle FIRE HD
  • Kindle FIRE HDX
  • Nook HD
  • Nook HD +
  • Published March 2020

If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 26 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 26 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach. If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders. Want to see what other students are doing? Then join a study group and share highlights, notes, questions, test tips and ideas with each other.

Series 26 Mobile Ebook



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Series 26 Important Concepts

Communications with the Public

Member firms will seek to increase their business and exposure through the use of both retail and institutional communications. There are strict regulations in place in order to ensure all communications with the public adhere to industry guidelines. Some communications with the public are available to a general audience and include:

  • Television/radio
  • Motion pictures
  • Newspapers/magazines
  • Telephone directory listings
  • Signs/billboards
  • Computer/Internet postings
  • Video tape displays
  • Other public media
  • Recorded telemarketing messages

Other types of communications are offered to a targeted audience. These communications include:

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Guidelines for the practices that a brokerage firm uses to conduct the operation of its daily business are regulated by industry, state, and federal regulators. These guidelines are the foundation for the way that the firm handles all business, from hiring a new agent to executing a customer’s order. All candidates must have a full understanding of a brokerage firm’s operations and procedures to successfully complete the exam.

Hiring New Employees

A registered principal of a firm will be the individual who interviews and screens potential new employees. They will be required to make a thorough investigation into the candidate’s professional and personal backgrounds. With few exceptions other than clerical personnel, all new employees will be required to become registered as an associated person with the firm. The new employee will begin their registration process by filling out and submitting a Uniform Application for Securities Industry Registration, also known as Form U4. The Form U4 is used to collect the applicant’s personal and professional history including:

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All broker dealers are required to prepare and maintain reports and records according to industry regulations. The content and timing of the reports depends on the nature of the report. SEC Rules 17 a-3 and 17 a-4 set forth the requirements for broker dealer reporting, timing, content, and retention. Records subject to these rules must be maintained anywhere from three years to the life of the firm.

Under SEC Rule 17a-3 a significant number of records must be filed and maintained by broker dealers. The following is a list of those records and their definitions:


Blotters are records of original entry and must reflect transactions as of the trade date. Blotters must be prepared no later than the following business day, or T + 1. This would include a historical account of all the daily transactions, such as:

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All members are required to have a policy and procedures manual that outlines the supervisory structure of the firm and designates a principal to be responsible for each area of supervision. All firms are required to have a written policy and procedures manual to ensure compliance with the firm’s rules as well as the rules of the industry. The manual must be updated to reflect the adoption of new policies, a change in personnel, or new industry rules.

The Role of the Principal

Prior to any firm being admitted as a member of FINRA, they must have a least two principals to supervise the activities of the firm. At a minimum, one must be a principal to supervise employees and the other must be a financial operations principal, or FINOP, to supervise the financial and operational activities of the firm. It is the principal’s responsibility to ensure that all rules in the policy and procedures manual are followed by the firm’s employees. It is the responsibility of the principal to review and approve all of the following:

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