Series 26 study plan

Map the principal's supervisory responsibilities across opening, reviewing, and approving investment company and variable contracts business.

Distinguish firm-element training from needs-analysis training and state when each is required.

Outline the escalation path for sales-practice red flags, including unsuitable recommendations and unauthorized communications.

Draft a new-account supervision checklist that covers product authorization, suitability review, and documentation retention.

Classify open-end funds, closed-end funds, unit investment trusts, and variable contracts by structure, pricing, and regulatory treatment.

Calculate net asset value, public offering price, sales charge percentage, and breakpoint eligibility in five self-written scenarios.

Explain prospectus delivery and confirmation requirements for initial and subsequent purchases.

Identify prohibited sales practices, including misleading total-return claims and omitted risk disclosures, in written sales material.

Analyze breakpoint, letter-of-intent, and rights-of-accumulation mechanics and apply them to purchase scenarios.

Explain Rule 12b-1 plan categories, permissible uses, and principal approval and review obligations.

Apply advertising and sales-literature standards to sample communications, marking each as permissible, correctable, or prohibited.

Resolve three suitability scenarios by documenting client objectives, financial profile, product risk, and the principal's decision.

Distinguish separate-account assets from general-account assets and explain creditor and insolvency treatment.

Break down variable annuity and variable life fees, including mortality and expense risk, administrative, and investment-management charges.

Calculate surrender charges, partial withdrawals, and death-benefit values in four self-written contract scenarios.

Compare annuity payout options and explain how assumed interest rates affect income payments.

Evaluate variable contract exchange and replacement activity for suitability, cost impact, and surrender consequences.

Apply 1035 exchange rules and identify when a new surrender period or higher fees make a replacement unsuitable.

Explain free-look rights, withdrawal rules, and tax treatment of nonqualified versus qualified contracts.

Design a principal review process for exchange requests that requires documented justification and comparative cost analysis.

Map registration, fingerprinting, continuing-education, and termination-notification obligations for associated persons.

Draft a complaint-handling workflow that includes logging, investigation, response deadlines, and escalation to compliance.

Plan a branch-office inspection covering sales literature, correspondence, client files, and supervisory records.

Identify recordkeeping requirements for communications, orders, complaints, and supervision logs.

Resolve five integrated scenarios that combine product suitability, supervision, variable contract features, and personnel rules.

Audit a sample set of client files for missing suitability data, principal approval, and required disclosures.

Teach back the top 10 frequently confused rules to an imagined new representative without notes.

Complete a timed 100-question mixed-domain self-assessment and log every missed item by domain and cause.

Re-drill every missed item from the week 7 assessment and write the underlying rule in your own words.

Recompute weak calculation types until you complete five consecutive correct attempts per type.

Complete a final 100-question timed assessment under exam conditions.

Review the final error log and identify no more than three remaining weak areas with a written correction plan.