Series 26 Securities Exam – Investment Company and Variable Contracts Products Registered Principal

The Series 26 Securities Exam limited principal registration is for those who will manage or supervise representatives whose activities are limited to the offer, sale, or purchase of mutual funds, closed end funds, or the sale of variable annuity contracts. Some states require this exam for investment advisor registration.

Prerequisite Series #7 or #6 | $100 test fee (Form U-4) | 2.75 hour time limit

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
   Hiring and Qualifications 11
    Training of Representatives 19
    Supervision 24
    Sales Practices 32
    Business Processing and Record keeping Rules 24
***Total Questions*** ***110***

Series 26 Exam | Investment Company and Variable Contracts Products Registered Principal Study Materials

Series 26 Exam Study Book + Web based DATABANK of Final Exams

DATABANK & Study Book for Series 26

DATABANK & Study Book for Series 26


Exam Study Book

The Series 26 exam study program has 500+ pages (including all the pages devoted to quizzes and exams) and gives you a concise explanation of every topic, section, and sub-section of the exam — according to the FINRA (NASD) study outline.

The newly revised study materials are in a page format that is easy-to-read and gets right to the key points — then you practice exam-tough questions!

The Series 26 study book has 6 key sections with quizzes and explanations — then you practice SIX Final Tests -with “exam-tough” questions.

DATABANK of final Exams

The Series 26 Web based Data Bank is a convenient and effective method of testing a student’s overall comprehension of the material. Using DATABANK Practice Exams software prepares your for the actual test by presenting practice questions of similar complexity to that of the real exam.

The program consists of tests drawn from a pool of over 700 questions covering the major topics found on the actual exam. The web based DATABANK Practice Exams feature:

  • Always Up To Date
  • Unlimited Quizzes for each of the major topics covered on the exam
  • 6 Finals, covering material from all major topics Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question you sees is unique. All of the tests are weighted in the same manner as the material in the actual exam.

System Requirements

Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

Supported browsers on Windows or Mac OS:

  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)
NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.