Learn the registration, staffing, training, and product-framework topics that open the Series 26 exam.
The first Series 26 chapter covers who may act for the firm, what registrations are required, and how the principal trains and maintains associated persons for packaged-products business. The exam opens here because a limited principal cannot supervise investment company and variable-contract activity correctly if the firm has the wrong people, the wrong filings, or weak product training.
Read this chapter as the staffing-and-registration control layer. Start with broker-dealer and associated-person registration, then move into continuing education, annual compliance obligations, and the product framework for mutual funds, variable annuities, and variable life business.