Series 26 Audio

Solomon Series 26, 1st Edition

Investment Company Products/Variable Contracts Limited Principal Exam

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Track Title Bookmark Length Download
1 Copyright 0:20
2 Note from the Publisher 0:52
3 Introduction 8:56
4 Function One: Chapter One: Investment Companies and Their Regulation 16:38
5 Management Companies Open-end Funds 16:21
6 Breakpoints 16:08
7 Business Development Companies 17:52
8 Non-Traditional ETFs 19:15
9 Variable Life Insurance 20:16
10 Chapter Two: Investment Company Registration Requirements 15:36
11 Annual Amendments to Registration Statement 19:36
12 Conditions of FINRA Membership 15:05
13 Registration of FINRA Associated Persons 12:10
14 Function Two: Chapter Three: General Supervision and Public Communications 17:44
15 Availability of Written Procedures 17:33
16 Omitting Prospectus 17:09
17 Correspondence and Internal Communications 15:58
18 Public Appearances 6:38
19 Chapter Four: Employee Conduct and Dispute Resolution 15:48
20 Restrictions on Member Compensation 18:20
21 Preventing and Disclosing Prohibited Activities 15:23
22 FINRA Adjudicatory Rules 15:52
23 Function Three: Chapter Five: Managing Customer Accounts 20:31
24 Individual Retirement Accounts 18:39
25 Periodic Confirmations 15:13
26 Payment 16:48
27 Expungement of Customer Dispute Information 11:58
28 Chapter Six: Protecting Customer Accounts 17:01
29 Preservation of Other Records 17:55
30 Net Capital Requirements for Different Types of Firms 17:21
31 Customer Protection Rule 17:44
32 Annual Financial Statements 16:55
33 Capital Compliance Rule 14:25
34 SIPC Coverage Limitations 16:22
35 Currency and Transaction Reporting 20:27

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