Evan works at a brokerage firm where he accepts deposits of money to put into customer accounts. Evan notices that one customer brings in a deposit for $9,500 every week. What should Evan do?

Report this to his manager because it is a sign of possible money laundering.

Ask the customer if he or she is laundering money.

Put a freeze on the account and tell the customer that it is due to suspicious activity in the account.

Nothing - the deposits are not big enough to warrant concern.

A customer must be sent or given a confirmation at or before settlement with all of the following information EXCEPT:

Which market the trade was executed in

Commission on trade, if acting as an agent

Markups/mark-downs on NASDAQ securities if acting as principal

Whether the broker acted in a dual agency capacity

If a respondent does not dispute allegations against them, FINRA may request that they submit a letter of:

Acceptance, waiver, and consent

Processing, verification, and admittance

All of the following actions are prohibited under the Securities Exchange Act of 1934 EXCEPT:

Introducing a third party into the transaction resulting in the client getting a better price

Making excessive trades in a client's account

Mixing firm funds with the client funds to put up collateral for a loan

Introducing a third party into the transaction resulting in the client getting a better price

All of the following are true of customer complaints and disputes EXCEPT:

They must be responded to by a firm principal in writing within 10 days

Disputes are handled under the FINRA Code of Arbitration

They must be responded to by a firm principal in writing within 10 days

Clients may not appeal arbitration decisions to the Federal court system

One of a firm's principals must maintain a file of complaints

All of the following must submit fingerprints under Rule 17f-2 EXCEPT:

A local branch's computer technician

The cashier at a local branch office

A local branch's computer technician

If the SEC finds that a broker-dealer has included false or misleading material facts or has omitted necessary information on their registration for application, the SEC may do all of the following except:

Suspend broker-dealer for 18 months

Place limitations on broker-dealer's activities

Suspend broker-dealer for 18 months

Revoke registration of broker-dealer

Place limitations on the broker-dealer's operations

Series 26 Sample Quiz

Investment Company Products/Variable Contracts Limited Principal Exam

Number of Questions	10
Time Duration	Untimed
Answer Feedback Instant validation and rationale
Percentage required to pass	70%

Start Test

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SERIES 26 AUDIOBOOK

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The Solomon Series 26 Audiobook is a verbatim reading of The Solomon Exam Prep Guide to the Series 26 FINRA Investment Company and Variable Contracts Products Principal Qualification Examination.

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