Series 26: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our Series 26 Online Guide

Use of Manipulative, Deceptive, or Other Fraudulent Devices

FINRA prohibits member firms from transacting in securities by means of manipulative, deceptive, or other fraudulent devices. The prohibition includes purposefully making any untrue statement of a material fact or omitting a material fact when discussing a particular investment. This broad rul

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices, you might also be interested in:

Series 7 - 17.5.2.2. Clearance and Settlement for Trades Cleared Manually

Series 50 - Sources of Credit Information

Series 66 - Limit Orders

Series 54 - 3.2.5. Regulation of Political Contributions (“Pay to Play” Rule)

Series 63 - Registration of Broker-Dealers

Series 7 - 3.2.3.1.7 Certificates of Participation

Series 24 - Review Quiz

Series 65 - 6.2.1.3. Prohibited Transactions

Series 66 - 9.4.16.2 De Minimis Exception

Series 22 - Selection of Underwriting Syndicate

Series 99 - 2.1.3.2 Trade Report Modifiers

Series 7 - 9.4.2.1 Basic Charts and Patterns

Series 7 - 8.2. Variable Annuities

Series 79 - Participating Broker-Dealers, Issuer-Specific Reports, and Industry Reports (Rule 139)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL

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

I just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, OH

The study materials were spot on! Could not believe it. Topically perfect. Was confident before I hit submit that I had passed.

Peter Cisick, O.N. Equity Sales Co. Collegeville, PA