Securities Licensing: Series 26 Online
Price: $ 120.00 (USD)
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You will receive 40 credits (CE) upon completion of this course.
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Course Description
The series 26 is required for persons who will supervise representatives soliciting the purchase or sale of redeemable securities (mutual funds), variable contracts and insurance premium funding programs (variable life) issued by insurance companies.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
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In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
Course Outline
LEARNING OBJECTIVES:
· Understand the regulations of investment companies.
· Learn the definitions in the investment company act of 1940.
· Learn the legal and financial structure of investment companies.
· Understand the client account procedures.
· Understand the various types of payment, retirement and pension plans.
· Learn the supervision regulations.
· Understand the NASD structure and conduct rules.
· Understand the importance of customer protection.
· Learn the financial reporting requirements.
TOPICS COVERED:
· Introduction
· LESSON 1: Regulation of Investment Companies
· LESSON 2 : Client Account Procedures
· LESSON 3: Regulations Regarding Supervision
· LESSON 4: Compliance with Financial Responsibility Rules
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· Understand the regulations of investment companies.
· Learn the definitions in the investment company act of 1940.
· Learn the legal and financial structure of investment companies.
· Understand the client account procedures.
· Understand the various types of payment, retirement and pension plans.
· Learn the supervision regulations.
· Understand the NASD structure and conduct rules.
· Understand the importance of customer protection.
· Learn the financial reporting requirements.
TOPICS COVERED:
· Introduction
· LESSON 1: Regulation of Investment Companies
· LESSON 2 : Client Account Procedures
· LESSON 3: Regulations Regarding Supervision
· LESSON 4: Compliance with Financial Responsibility Rules
More Information
| Language | English |
| Course Length | 40.00 hours |
| Duration of Access | 120 Days from Purchase |
| Continuing Education Credits | 40 |
| Instructor | Self Study |
| Vendor | 360 Training (Read more about 360 Training accreditation.) |
| Course Certification | None |
| Prerequisites/Audience | Series 6 or 7 Certification |
| Requirements/Materials Included | None |
Price: $ 120.00 (USD)
Add to Cart