Series 26: Exemptions

Taken from our Series 26 Online Guide

Exemptions

Broker-dealers whose business activities are limited with respect to handling their customers’ funds and securities are exempt from the financial restrictions of the customer protection rule.

The following types of firms are exempt:

• Introducing brokers that promptly transmit all funds and securities to their clearing broker.

• Broker-dealers whose only transactions involve registered investment companies or interests in an insura

+ Read More

More Series 26 Info

What are people saying?

Create an Account

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

Series 66 - Investment Advisers Act of 1940

Series 7 - 2.8.2. Equipment Trust Certificates

Series 50 - Municipal Advisors

Series 24 - Trade Confirmations and Completing a Transaction

Series 66 - Indirect Violations

Series 65 - 4.5.3 Commodities

Series 3 - 1.3.3. Futures Margin Requirements

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

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

I passed the Series 26 today with a score of 82%. Your exam simulator helped tremendously.

Ray Pecharich, Primerica, Sarasota, Florida

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

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

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