Series 26: SEC Registration

Taken from our Series 26 Online Guide

SEC Registration

As a first step to registration with the SEC, the applicant must deposit funds into a general account with FINRA’s Central Registration Depository, from which application fees and other fees will be drawn. The Central Registration Depository (CRD) is an automated database, similar to the IARD, that stores and maintains information on registered securities and on brokerage firms and their registered employees.

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: SEC Registration, you might also be interested in:

Series 7 - 9.4.2.2.3 Consolidation

Series 82 - 3.2.2. Preferred Stock

Series 50 - Independent Auditor’s Report

Series 63 - 5.1.5.1. Compensation Disclosures

Series 53 - The Securities Exchange Act of 1934

Series 65 - 3.7.4.8.1 Accumulation Phase for a Nonqualified Annuity

Series 53 - Time of Formal Award and Time of First Execution

Series 79 - 3.2.6. Return on Investment Ratios

Series 22 - 5.2. Retirement Plan Accounts: Qualified vs. Non-Qualified Plans

Series 50 - Required Supplementary Information (RSI)

Series 27 - U.S Treasuries and Agency Securities

Series 14 - 4.1.3.7. Aggregate Indebtedness

Series 24 - Required Coverage

Series 52 - Personal History and Form U4

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 26 today with a score of 82%. Your exam simulator helped tremendously.

Ray Pecharich, Primerica, Sarasota, Florida

Thanks! I just passed my series 26 exam! Your material really helped!

Kevin Chambers

The virtual class and the test questions really helped me pass the Series 26. Thank you.

Todd Brubaker, Western & Southern Life, Akron, OH

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

I am so glad I used the Solomon prep information for my series 26. The simulator is awesome and helped me the most in having success in passing exam. I strongly recommend the materials for anyone taking the 26. Thanks Rosie!

Dan Smoot