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For
Course Descriptions and Prices
Please Download The Catalog and
Order Form
INVESTMENT
COMPANY PRODUCTS
The
National Association of Securities Dealers, Inc. (NASD) Investment
Company Products/ Variable Contracts Limited Principal Qualification
Examination (Series 26) is used to qualify individuals seeking
registration with NASD under By-Laws Article II, Section 2 and
Rule 1022(d). Registered principals in this limited category of
registration are permitted to function as principals in a member's
investment banking and securities business in redeemable securities
of companies registered pursuant to the Investment Company Act
of 1940, securities of closed-end funds during the period of original
distribution only, and variable contracts and insurance premium
funding programs.
The
NASD Series 26 is an investment company products/variable contracts
limited principal qualification examination. This examination
is composed of 110 multiple-choice questions with a maximum of
150 minutes testing time allowed for candidates to complete the
examination. A candidate must correctly answer 70 percent to receive
a passing grade.
Successful
completion of this examination allows a principal to supervise
an office with employees that have passed NASD Series 6 to sell
mutual funds and other investment company products. Most states
require that NASD Series 63 (Blue Sky Law) must also be successfully
passed.
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Topics |
Number
of Questions
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1.
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Hiring
and Qualification |
11
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2.
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Training
of Representatives |
19
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3.
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Supervision |
24
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4.
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Sales
Practices |
32
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5.
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Business
Processing and Recordkeeping Rules |
24
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Test-N-Learn Company you get the most advanced computer based
training available.
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© 1997-2008 Test-N-Learn Company. All rights reserved. "Test'n'Learn"
is a trademark of Test-N-Learn Co. "We Put You In A Class
By Yourself" is a trademark of Test-N-Learn Co. Other products
and companies referred to herein are trademarks or registered
trademarks of their respective companies or mark holders.
Test-N-Learn Company and its affiliates attempt to be as accurate
as possible. However, Test-N-Learn Company does not warrant that
product descriptions or other content of this document or its
web site is error-free. Prices
and other information in this document are subject to change without
notice.
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