Series 26

By Investopedia AAA

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

You May Also Like

Related Articles
  1. Stock Analysis

    Why Kinder Morgan's Backlog Keeps Slipping

  2. Fundamental Analysis

    Why Last In First Out Is Banned Under ...

  3. Taxes

    Presidential Candidates And Wall Street ...

  4. Investing

    Top Oil Stocks that Pay Regular Dividends

  5. Trading Strategies

    Are These the Top Monthly Dividend Stocks?

Trading Center