Series 26: Registration Of FINRA Associated Persons

Taken from our Series 26 Online Guide

Registration of FINRA Associated Persons

Under the Exchange Act, all persons engaged in the broker-dealer securities business must fulfill personal registration requirements. The requirements are found in the FINRA rules. They also must pass one or more qualifying exams. This applies equally to dually-registered investment adviser representatives and to FINRA-registered brokers and dealers who sell or supervise the sale of investment company products. Registration of associated persons is specific to a member firm, meaning that a change of employer to another broker-dealer requires an individual to am

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: Registration Of FINRA Associated Persons, you might also be interested in:

Series 14 - 4.1.1. Required Minimum Net Capital

Series 24 - Transactions Not to Be Reported for Publication Purposes

Series 50 - Exception for a Minor Portion

Series 53 - Opening Customer Accounts

Series 7 - 4.10 Taxation of U.S. Treasuries and Municipal Securities

Series 26 - Exercise

Series 24 - Series 24 Online Guide

Series 24 - Conditions of Individual Registration

Series 24 - Assignment

Series 79 - 6.5. The Role of Research Analysts

Series 54 - 3.2.5.3. MAPs and MFPs

Series 24 - 3.11.3.1. General Disclosures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I was having a tough time with the series 26 material. It had been 10 years since I had last studied for a test. I used other material of some big name companies that did not help me to understand what the test was asking. I purchased the Question bank from Solomon and I truly believe it is one of the reasons I was able to power through the exam. The questions were more challenging then the actual test itself which really helped me when it came to crunch time.

Ryan Schlagenhauf, Prudential, Shelton, CT

Solomon Exam Prep was the ticket to passing my Series 26 test. I would like to thank you all for your help! I highly recommend your study material for the FINRA exams.

David H. Viar, Farm Bureau Financial Services, West Des Moines, IA

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 used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

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

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

Todd Brubaker, Western & Southern Life, Akron, OH