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Series 26

Series 26

The Series 26 exam — the Investment Company and Variable Contracts Products Principal Qualification exam (IP) — covers three major functions with a focus on overseeing compliance and business processes of the broker-dealer and its offices.

Visit FINRA for more info

110 Questions

Multiple Choice

2h 45m

Duration

70%

Min Passing Score

50% - 60%

Average Passing Rate

Requisites

Prerequisites

  • SIE
  • Series 6
  • Series 7

Topics

  • Personnel management
  • Securities industry rules
  • FINRA rules compliance
  • Sales activities
  • Record keeping
  • Maintenance of customer accounts

Retake Wait Periods

After the first or second time a candidate fails the Series 26 exam, there is a mandatory 30 day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 6 months. The $200 exam fee applies each time they take the exam.

What’s Next

Those who successfully obtain a Series 26 license can serve in the role of a principal for the purchase/sale of closed end company securities, certain redeemable securities, and various contracts and premium funding programs issued by an insurance carrier.

Prep Packages

Be confident, fully prepared, and ready to pass.

Even for solid test-takers, Series 26 — like many exams — will try to stump you on the question language or format. You need prep that will leave you confident, ready, and unsurprised on exam day.

Series 26 eBook and Test Bank

$

239

Course access is for 7 months from the date of purchase

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Looking for Study Aids?

We offer resources and materials to help get you prepped and confident.

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With Us You Can

Study Smarter

Retention Over Memorization

We’ll provide you with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.

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Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.

Customize Your Studies

Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.

Virtual, Online Classes

Led by industry experts, providing students with pertinent securities exam essentials and the knowledge needed to successfully pass.

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Course Material

Your Ultimate Resource

We have created the ultimate resource to help ensure you pass — the first time. Developed by experts in FINRA licensing, our coursework incorporates everything you need to know to successfully take this important step in advancing your career.

Multi-level Assessments

Includes Quick Quizzes at the topic level.

Chapter Video Lectures

Created by expert Instructors, aligned with the book’s content.

Animated Videos

Reinforcing key concepts and test-taking strategies with simulated exam questions.

Scored and Graded Assessments

Check Your Understanding, Chapter Exams, Mid-Term Exams, and Fixed Final Exams.

Clear and concise course material

Increased efficiency in learning, allowing more time for Final Practice Exams.

Intuitive & Modern User Interface

Our LMS allows you to engage easily and keep careful track of your progress, so you can focus on learning.

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FAQs

Those who successfully obtain a Series 26 license can serve in the role of a principal for the purchase/sale of closed end company securities, certain redeemable securities, and various contracts and premium funding programs issued by an insurance carrier.

If you should fail the Series 26 exam, it is important that you reevaluate the methods you used to prepare for the test. Pass Perfect offers many tools to help you successfully pass the exam.

The Series 26 license expires after 2 years, but can be renewed.

Upon arriving at the test center, you will asked to show one form of a government issued ID that contains a signature and photo. All personal belongings will be stored in a locker and you will be escorted to the test area by a staff member. You will then be furnished with any needed materials to take the exam.

Yes. In order obtain a Series 26 license, you must have already passed the SIE test and either the Series 63 or Series 7 exam.

A score of 70% or more is considered passing.

Exam takers have up to 2 hours and 45 minutes to complete the test.