Series 6 Exam: Study Guide & Practice

Course Summary

This engaging course is designed to prepare you for the Series 6 Exam, which is required for anyone looking to sell corporate and municipal securities products. The course uses video lessons and quizzes to help you practice for all the financial questions you might encounter on test day.
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17 chapters in Series 6 Exam: Study Guide & Practice

Course Practice Test

Check your knowledge of this course with a 50-question practice test.
  • Comprehensive test covering all topics
  • Detailed video explanations for wrong answers
Week {{::cp.getGoalWeekForTopic(0, 17)}}
Ch 1. Financial Advertising & Communications With the Public {{cp.topicAssetIdToProgress[650983].percentComplete}}% complete
Week {{::cp.getGoalWeekForTopic(1, 17)}}
Ch 2. Describing Investment Products & Services {{cp.topicAssetIdToProgress[651003].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Financial Prospectus: Definition, Components & Examples Score: {{cp.lessonAssetIdToProgress[346679].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[346679].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[346679].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[346679].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - The Process for Bringing New Issues to Market Score: {{cp.lessonAssetIdToProgress[651005].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651005].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651005].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651005].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - What Is a Preliminary Official Statement (POS)? Score: {{cp.lessonAssetIdToProgress[651007].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651007].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651007].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651007].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - Delivery of Prospectus: Rules & Requirements Score: {{cp.lessonAssetIdToProgress[651009].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651009].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651009].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651009].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - Notice of Sale for Municipal Securities: Definition & Components Score: {{cp.lessonAssetIdToProgress[651011].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651011].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651011].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651011].bestScoreQuestions}}  Take Quiz Optional
Lesson 6 - Regulation D Offerings: Definition & Regulations Score: {{cp.lessonAssetIdToProgress[651013].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651013].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651013].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651013].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(3, 17)}}
Ch 4. Understanding Retirement Plans & Tax Advantaged Accounts {{cp.topicAssetIdToProgress[651035].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - ERISA Law: Explanation & Importance Score: {{cp.lessonAssetIdToProgress[15586].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[15586].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[15586].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[15586].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - What Is a 457 Plan? - Definition & Examples Score: {{cp.lessonAssetIdToProgress[651037].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651037].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651037].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651037].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - What is a Defined Benefit Plan? - Definition & Examples Score: {{cp.lessonAssetIdToProgress[346883].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[346883].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[346883].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[346883].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - What is a Profit-Sharing Plan? - Definition, Rules & Example Score: {{cp.lessonAssetIdToProgress[16758].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[16758].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[16758].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[16758].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - What Are Stock Options for Employees? - Value & Concept Score: {{cp.lessonAssetIdToProgress[7865].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[7865].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[7865].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[7865].bestScoreQuestions}}  Take Quiz Optional
Lesson 6 - Non-Qualified Retirement Plan: Types & Examples Score: {{cp.lessonAssetIdToProgress[244055].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[244055].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[244055].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[244055].bestScoreQuestions}}  Take Quiz Optional
Lesson 7 - Tax Advantaged Accounts: Functions, Eligibility & Taxation Score: {{cp.lessonAssetIdToProgress[651039].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651039].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651039].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651039].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(5, 17)}}
Ch 6. Obtaining Customer Investment Profile Information {{cp.topicAssetIdToProgress[651049].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Using Financial Factors to Assess Investment Profiles Score: {{cp.lessonAssetIdToProgress[651053].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651053].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651053].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651053].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - Using Personal Factors to Assess Investment Profiles Score: {{cp.lessonAssetIdToProgress[651055].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651055].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651055].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651055].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - Understanding & Identifying Investment Objectives Score: {{cp.lessonAssetIdToProgress[651057].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651057].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651057].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651057].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - FINRA Rule 2111: Suitability Obligations Score: {{cp.lessonAssetIdToProgress[651059].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651059].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651059].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651059].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - How Customer-Specific Factors Impact Investment Choices Score: {{cp.lessonAssetIdToProgress[651063].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651063].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651063].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651063].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(7, 17)}}
Ch 8. Analyzing Investment Portfolios & Financial Statements {{cp.topicAssetIdToProgress[651075].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - What is Alpha in Finance? - Definition & Formula Score: {{cp.lessonAssetIdToProgress[243753].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243753].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[243753].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243753].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - What is Beta in Finance? - Definition & Formula Score: {{cp.lessonAssetIdToProgress[243755].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243755].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[243755].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243755].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - Capital Asset Pricing Model (CAPM): Definition, Formula, Advantages & Example Score: {{cp.lessonAssetIdToProgress[17211].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[17211].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[17211].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[17211].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - What Is an Income Statement? - Purpose, Components & Format Score: {{cp.lessonAssetIdToProgress[9172].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9172].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[9172].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9172].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - The Balance Sheet: Purpose, Components & Format Score: {{cp.lessonAssetIdToProgress[9171].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9171].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[9171].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9171].bestScoreQuestions}}  Take Quiz Optional
Lesson 6 - Statement of Changes in Equity: Purpose & Examples Score: {{cp.lessonAssetIdToProgress[242893].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[242893].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[242893].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[242893].bestScoreQuestions}}  Take Quiz Optional
Lesson 7 - The Statement of Cash Flows: Purpose, Format & Examples Score: {{cp.lessonAssetIdToProgress[9173].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9173].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[9173].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9173].bestScoreQuestions}}  Take Quiz Optional
Lesson 8 - Analyzing Cash Flow Statement Patterns Score: {{cp.lessonAssetIdToProgress[54013].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[54013].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[54013].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[54013].bestScoreQuestions}}  Take Quiz Optional
Lesson 9 - Financial Statement Analysis: Definition, Purpose, Elements & Examples Score: {{cp.lessonAssetIdToProgress[39379].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[39379].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[39379].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[39379].bestScoreQuestions}}  Take Quiz Optional
Lesson 10 - The Purpose of Notes on Financial Statements Score: {{cp.lessonAssetIdToProgress[9174].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9174].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[9174].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[9174].bestScoreQuestions}}  Take Quiz Optional
Lesson 11 - Accounting Policies as Balance Sheet Disclosures Score: {{cp.lessonAssetIdToProgress[310157].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[310157].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[310157].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[310157].bestScoreQuestions}}  Take Quiz Optional
Lesson 12 - Comparative Statements as Balance Sheet Disclosures Score: {{cp.lessonAssetIdToProgress[310161].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[310161].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[310161].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[310161].bestScoreQuestions}}  Take Quiz Optional
Lesson 13 - Inventory Valuation Methods: Specific Identification, FIFO, LIFO & Weighted Average Score: {{cp.lessonAssetIdToProgress[18503].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[18503].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[18503].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[18503].bestScoreQuestions}}  Take Quiz Optional
Lesson 14 - Methods of Depreciation Score: {{cp.lessonAssetIdToProgress[29924].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[29924].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[29924].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[29924].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(8, 17)}}
Ch 9. Types of Underlying Securities {{cp.topicAssetIdToProgress[651079].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Common Stock: Definition, Issuance & Formula Score: {{cp.lessonAssetIdToProgress[16060].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[16060].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[16060].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[16060].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - What is Preferred Stock? - Definition, Types & Advantages Score: {{cp.lessonAssetIdToProgress[15736].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[15736].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[15736].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[15736].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - Debt Securities: Definition & Examples Score: {{cp.lessonAssetIdToProgress[376679].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[376679].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[376679].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[376679].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - Options Basics: Stocks, Payoffs & Puts & Calls Score: {{cp.lessonAssetIdToProgress[69868].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[69868].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[69868].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[69868].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - Government Securities: Definition, Types & Examples Score: {{cp.lessonAssetIdToProgress[10520].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[10520].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[10520].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[10520].bestScoreQuestions}}  Take Quiz Optional
Lesson 6 - State & Local Government Securities: Definition & Types Score: {{cp.lessonAssetIdToProgress[150014].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[150014].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[150014].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[150014].bestScoreQuestions}}  Take Quiz Optional
Lesson 7 - Commercial Paper: Definition, Advantages & Disadvantages Score: {{cp.lessonAssetIdToProgress[641757].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641757].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641757].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641757].bestScoreQuestions}}  Take Quiz Optional
Lesson 8 - Certificate of Deposit: Definition, Advantages & Disadvantages Score: {{cp.lessonAssetIdToProgress[51254].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[51254].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[51254].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[51254].bestScoreQuestions}}  Take Quiz Optional
Lesson 9 - Banker's Acceptance: Definition, Advantages & Disadvantages Score: {{cp.lessonAssetIdToProgress[641755].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641755].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641755].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641755].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(9, 17)}}
Ch 10. Understanding Funds, Trusts & Investment Companies {{cp.topicAssetIdToProgress[651081].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - What is a Mutual Fund? - Definition, Types, Advantages & Examples Score: {{cp.lessonAssetIdToProgress[15841].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[15841].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[15841].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[15841].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - Mutual Funds: Fees, Charges & Expenses Score: {{cp.lessonAssetIdToProgress[651083].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651083].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651083].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651083].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - What is an ETF? - Definition & Arbitrage Score: {{cp.lessonAssetIdToProgress[243703].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243703].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[243703].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243703].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - Unit Investment Trust (UIT): Definition & Example Score: {{cp.lessonAssetIdToProgress[641777].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641777].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641777].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641777].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - What is an Open-End Fund? - Definition & Characteristics Score: {{cp.lessonAssetIdToProgress[651085].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651085].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651085].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651085].bestScoreQuestions}}  Take Quiz Optional
Lesson 6 - Open-End Funds: Fees & Expenses Score: {{cp.lessonAssetIdToProgress[652395].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[652395].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[652395].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[652395].bestScoreQuestions}}  Take Quiz Optional
Lesson 7 - What is a Closed-End Fund? - Definition & Examples Score: {{cp.lessonAssetIdToProgress[283823].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[283823].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[283823].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[283823].bestScoreQuestions}}  Take Quiz Optional
Lesson 8 - Types of Investment Fund Objectives Score: {{cp.lessonAssetIdToProgress[651089].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651089].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651089].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651089].bestScoreQuestions}}  Take Quiz Optional
Lesson 9 - Reinvestment of Dividend Income & Capital Gains Distributions Score: {{cp.lessonAssetIdToProgress[651095].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651095].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651095].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651095].bestScoreQuestions}}  Take Quiz Optional
Lesson 10 - Investment Company Act of 1940: Summary, Rules & Exemptions Score: {{cp.lessonAssetIdToProgress[641693].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641693].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641693].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641693].bestScoreQuestions}}  Take Quiz Optional
Lesson 11 - FINRA Rule 2341: Investment Company Securities Score: {{cp.lessonAssetIdToProgress[651097].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651097].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651097].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651097].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(10, 17)}}
Ch 11. Understanding Municipal Fund Securities {{cp.topicAssetIdToProgress[651099].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Mutual Fund Securities: Definition & Examples Score: {{cp.lessonAssetIdToProgress[641783].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641783].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641783].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641783].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - 529 Prepaid Tuition Plans: Definition & Overview Score: {{cp.lessonAssetIdToProgress[641785].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641785].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641785].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641785].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - Local Government Investment Pools (LGIPs): Definition & Types Score: {{cp.lessonAssetIdToProgress[641787].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641787].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641787].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641787].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - ABLE Accounts: Definition & Overview Score: {{cp.lessonAssetIdToProgress[641789].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641789].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641789].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641789].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(12, 17)}}
Ch 13. Tax Treatment of Investment Profiles {{cp.topicAssetIdToProgress[651119].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Tax Treatment of Mutual Funds: Description & Overview Score: {{cp.lessonAssetIdToProgress[651121].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651121].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651121].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651121].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - Capital Gains Treatments: Definition & Advantages Score: {{cp.lessonAssetIdToProgress[89894].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[89894].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[89894].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[89894].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - How to Calculate Capital Gains: Definition, Formula & Example Score: {{cp.lessonAssetIdToProgress[251585].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[251585].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[251585].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[251585].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - How to Calculate Capital Losses: Definition, Formula & Example Score: {{cp.lessonAssetIdToProgress[251587].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[251587].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[251587].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[251587].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - Qualified & Non-Qualified Dividend Distributions Score: {{cp.lessonAssetIdToProgress[651127].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651127].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651127].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651127].bestScoreQuestions}}  Take Quiz Optional
Lesson 6 - Tax Loss Harvesting: Rules & Examples Score: {{cp.lessonAssetIdToProgress[243679].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243679].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[243679].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243679].bestScoreQuestions}}  Take Quiz Optional
Lesson 7 - Holding Period Yield: Formula & Examples Score: {{cp.lessonAssetIdToProgress[243619].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243619].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[243619].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[243619].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(13, 17)}}
Ch 14. Disclosing Investment Product Information {{cp.topicAssetIdToProgress[651129].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Understanding Investment Risk: Definition & Categories Score: {{cp.lessonAssetIdToProgress[651133].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651133].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651133].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651133].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - Understanding Investment Returns: Definition & Categories Score: {{cp.lessonAssetIdToProgress[651135].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651135].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651135].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651135].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - Investment Costs & Fees Score: {{cp.lessonAssetIdToProgress[651137].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651137].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651137].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651137].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - FINRA Rule 2165: Financial Exploitation of Specified Adults Score: {{cp.lessonAssetIdToProgress[651143].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651143].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651143].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651143].bestScoreQuestions}}  Take Quiz Optional
Week {{::cp.getGoalWeekForTopic(15, 17)}}
Ch 16. Processing & Confirming Financial Transactions {{cp.topicAssetIdToProgress[651157].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Automated Trade Execution: Definition, Use & Issues Score: {{cp.lessonAssetIdToProgress[651167].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651167].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651167].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651167].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - Settlement Cycle for Broker-Dealer Transactions Score: {{cp.lessonAssetIdToProgress[651169].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651169].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651169].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651169].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - Regulation T: Definition, Purpose & Example Score: {{cp.lessonAssetIdToProgress[651171].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651171].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651171].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651171].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - FINRA Rule 5330: Adjustment of Orders Score: {{cp.lessonAssetIdToProgress[651175].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651175].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651175].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651175].bestScoreQuestions}}  Take Quiz Optional
Lesson 5 - FINRA Rule 6140: Other Trading Practices Score: {{cp.lessonAssetIdToProgress[651177].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651177].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[651177].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[651177].bestScoreQuestions}}  Take Quiz Optional

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Practice Tests in this course
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Course Practice Test
More practice by chapter
Ch. 3
Disclosing Financial Account Types & Restrictions
Not Taken
Ch. 5
Obtaining Basic Customer Information & Documentation
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Ch. 7
Obtaining Supervisory Approvals for Investment Accounts
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Ch. 12
Variable Life Insurance & Annuity Contracts
Not Taken
Ch. 15
Updating Investment Customers & Retaining Customer Records
Not Taken
Ch. 17
Resolving Investment Disputes & Customer Complaints
Not Taken
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