FINRA Series 26 - Exam Information

This exam is administered by The Financial Industry Regulatory Authority (FINRA) and will provide an individual with the qualifications necessary to become a principal who supervises and manages sales activities for investment companies and annuities.

Enrollment Fee:

$100 US. Note that this is the examination enrollment fee ONLY - other fees may also apply.

Prerequisite:

You must be sponsored by a FINRA member firm and must have already passed the series 6 or series 7 exam.

Format:

Multiple Choice

Number of Questions:

Objective
# Questions
Business Processing and Record Keeping Rules
24
Hiring and Qualifications
11
Sales Practices
32
Supervision
24
Training of Representatives
19
  
TOTAL
110

Each candidate will be allowed 140 minutes to complete the examination. This time limit has been designed to provide enough time for all candidates to complete the exam. A score of 70% or higher is required to pass the Series 26 exam.




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Series 26 Study Textbook

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Paperback    256 pages    202 test questions    Published December 2015

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