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Series 26 Exam Details

The FINRA® Series 26, Investment Company and Variable Contracts Products Principal Exam is required of individuals, who as principal will supervise individuals soliciting the purchase or sale of redeemable securities (mutual funds) registered under the Investment Company Act of 1940, variable contracts (variable annuities) and insurance premium funding programs (variable life) issued by insurance companies.


Series 6 or Series 7

110 multiple-choice questions

2 hours, 45 minutes

Outline of Topics Covered

  • Hiring and Qualification
  • Training of Representatives
  • Supervision
  • Sales Practices
  • Business Processing and Recordkeeping Rules


Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.


Additional Details

For more exam details, including fees and passing score, please visit FINRA.


Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

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The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Calendar based on your schedule and exam date.