Series 26

Investment Company Products/Variable Contracts Limited Principal Exam

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Track	Title	Length
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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