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Series 26 - Investment Company Products/Variable Contracts Limited Principal Exam

How do I register to take the Series 26?

To take the Series 26, a FINRA member firm must file a Form U4 application on your behalf through FINRA’s Central Registration Depository (CRD). At least one of the following licenses is a prerequisite to attempt the Series 26 exam:  Series 6 or Series 7. You will also have to get fingerprinted and answer a lengthy set of questions about your background.

What does the Series 26 qualify me to do?

A Series 26 license will qualify you to function as a principal for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company.

How long should I prepare for this exam?

We recommend studying 80 hours over a four-week period.

What score do I need to pass the exam?

A score of 70% is required for passing. 

Note: Your score will be rounded down to the lowest whole number (e.g. 69.9% would be a final score of 69%--not a passing score for the Series 26 Exam).

How many questions are on the exam?

There are 110 scored and 10 unscored questions. These 10 unscored questions are randomly distributed so test-takers do not know which questions are not scored. The unscored questions are being tried out by the exam committee. 

How long is the exam?

Two hours and 45 minutes. You are allowed to take restroom breaks during the exam; however, the clock will continue counting down. Please contact your preferred testing center for additional information.

How much does the exam cost?

The cost of the exam is $100 at this writing.

If I stop working for my firm, how long will my Series 26 license remain active?

You will have two years between jobs before the license expires.

When you cease working for a firm, your employer will file a Form U5 to terminate your registration. Your next employer will file a Form U4, which will re-register you. As long as you do not exceed two years between employers, your Series 65 license will remain active. 



General exam questions? See our general FAQs.

For information about Solomon Series 26 exam study materials, please click here.



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Hannah Cash, Denali Wealth Management, Indianapolis, IN


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Celeste Gullo, Allstate Insurance, Glen Head, NY