Series 26: Interfering With Customer Account Transfers

Taken from our Series 26 Online Guide

Interfering With Customer Account Transfers

FINRA prohibits broker-dealers from interfering with a customer’s account transfer request in cases where the customer’s registered representative has changed employment. In other words, they cannot prevent customers from transferring their accounts to another firm because their registered representative has moved to that firm.

FINRA Rule 2140

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: Interfering With Customer Account Transfers, you might also be interested in:

Series 79 - Revenues

Series 63 - Prospectus Delivery Requirements

Series 66 - Common Stock

Series 53 - Contributors

Series 65 - 9.1.2.3.1. Registration by Qualification

Series 28 - Designation of OSJ General Principal

Series 99 - Exercise

SIE - 4.1.1.1. Long Call

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 26 today with a score of 82%. Your exam simulator helped tremendously.

Ray Pecharich, Primerica, Sarasota, Florida

I just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, OH

The virtual class and the test questions really helped me pass the Series 26. Thank you.

Todd Brubaker, Western & Southern Life, Akron, OH

I am so glad I used the Solomon prep information for my series 26. The simulator is awesome and helped me the most in having success in passing exam. I strongly recommend the materials for anyone taking the 26. Thanks Rosie!

Dan Smoot

Just passed the Series 26! As a new mom, I relied heavily on the Audiobooks and being able to read or test on my iPad whenever I could. The material was accurate and I felt well-prepared after following the suggested study schedule.

Usha Sharma, Transamerica, West Covina, CA

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