Series 26

Written by Pete Nicholls
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The Series 26 exam is required for individuals who will supervise representatives soliciting the purchase or sale of redeemable securities (mutual funds), variable contracts, and insurance premium funding programs (variable life) issued by insurance companies. The prerequisite to taking this exam are the Series 6 or the Series 7 exam. The exam consists of 110 multiple choice questions, with students being given 150 minutes to complete the exam.

This exam, for managers looking to supervise activities for Investment Companies is given Monday through Saturday, at Prometric Centers around the country and/or in certain locations overseas. For students looking to use self-study materials at home, you can expect to spend at least four weeks studying, with one to two hours a day being allotted for study. There are some excellent materials from which to study and prepare for this exam in the comfort of your own home.

Series 26 Study Preparation

There are study materials such as textbooks, videos, and CDs for the computer that you can purchase to help you prepare at home for the Series 26 exam. Topics covered in the study materials include: Sales Supervision, Primary and Secondary Markets, Customer Accounts and Orders, Financial Responsibility, and Investment Companies and Retirement Plans. Of course, the rules and regulations associated with the investment industry are also covered, as they must be learned as well.

Study materials usually include practice tests and quizzes that you can use to figure out where your strengths and weaknesses lie. If you stick to a study regime, you should be able to pass this exam with the required score of 70 percent or higher. For more information about this specific exam, or other series exam, there are many helpful websites.


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