Series 26: Supervisory Compliance

Taken from our Series 26 Online Guide

Supervisory Compliance

We have seen that FINRA requires its broker-dealer and investment company member firms to report the identities and certify the responsibilities of its key supervisory personnel. We know, too, that FINRA requires firms to prepare written supervisory procedures that instruct supervisors on how to perform those responsibilities.

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: Supervisory Compliance, you might also be interested in:

Series 50 - Financial and Operations Principal (Series 27)

Series 6 - 1.2.1.4.1. Delivery of a Prospectus

Series 65 - 1.4.2.2.1 Bearish Patterns

Series 7 - 13.2.2.1. Money Laundering

Series 6 - 7.5.1.6. Compensation Fees

Series 14 - 7.2.4.2.5. A Sampling of Other Representatives

Series 7 - 17.6.5.1. Front Running

Series 24 - The Arbitration Process

Series 66 - Cash Accounts

Series 53 - Exercise

Series 66 - 9.2.5. Soft-Dollar Arrangements

Series 66 - Long Put

Series 66 - Bond Points and Basis Points

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Just passed the Series 26! As a new mom, I relied heavily on the Audiobooks and being able to read or test on my iPad whenever I could. The material was accurate and I felt well-prepared after following the suggested study schedule.

Usha Sharma, Transamerica, West Covina, CA

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 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 passed the Series 26 exam last Thursday. As a Physician with very limited time to sit and study, I listened to the CDs over and over again as I drove to and from work, and that really helped me. I will be ordering the Series 65 materials soon.

Daniel Asiedu, PFS Investments, Lincoln, RI

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