Series 26: Capital Compliance Rule

Taken from our Series 26 Online Guide

Capital Compliance Rule

FINRA’s capital compliance rule is intended to guard against and prevent the failure of a member firm to maintain its net capital requirements. Among its provisions, the rule allows FINRA to raise a firm’s minimum capital requirements, suspend its business operations, and limit its ability to withdraw capital.

Authority to increase capital requirements. When necessary for the protection of investors, FINRA may prescribe greater net capital or net worth requirements with respect to any carrying or clearing firms than those otherwise applicable. FINRA may demand a more stringent method for their computation, or a restoration or increase of a firm’

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: Capital Compliance Rule, you might also be interested in:

Series 26 - Mutual Fund Brokers

Series 24 - Sales of Securities at Reduced Prices

Series 28 - Segregation of Funds

Series 50 - “Know Your Client” Requirement

Series 66 - 3.1.4.4. Purchasing and Redeeming Mutual Fund Shares

Series 7 - 17.5.3.1.5. Corporate Action Department

Series 7 - 1.3. Preferred Stock

Series 79 - Persons Liable

Series 27 - Transfer Fees

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

Thanks! I just passed my series 26 exam! Your material really helped!

Kevin Chambers

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

I was having a tough time with the series 26 material. It had been 10 years since I had last studied for a test. I used other material of some big name companies that did not help me to understand what the test was asking. I purchased the Question bank from Solomon and I truly believe it is one of the reasons I was able to power through the exam. The questions were more challenging then the actual test itself which really helped me when it came to crunch time.

Ryan Schlagenhauf, Prudential, Shelton, CT

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

The study materials were spot on! Could not believe it. Topically perfect. Was confident before I hit submit that I had passed.

Peter Cisick, O.N. Equity Sales Co. Collegeville, PA