Series 26

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Recordkeeping Rules - Introduction


This section details the critical skills necessary for a principal to "assure sales are made in compliance with firm and securities rules and regulations". Specific functions discussed within this section are contained in the Series 26 study guide. You can expect approximately 21 questions on this material on your upcoming Series 26 exam. This amounts to roughly 19% of your upcoming exam.
Settlement of Transactions and Delivery of Securities

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