- Course type: Self-paced
- Available Lessons: 84
- Average Lesson Length: 8 min
- New lessons are still being added
Watch a preview:chapter 1 / lesson 1FINRA Requirements for the Use of Bond Mutual Fund Volatility Ratings
Course SummaryThis 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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Course Practice TestCheck your knowledge of this course with a 50-question practice test.
- Comprehensive test covering all topics
- Detailed video explanations for wrong answers
About This Series 6 Exam Study Guide
The Financial Industry Regulatory Authority (FINRA) Series 6 Investment Company and Variable Contracts Products Representative Exam is a financial licensing exam required for professionals to sell mutual funds, municipal fund securities, variable annuities, life insurance, and unit investment trusts. The exam is designed to test your knowledge of the major job functions within an investment company and the various security products and contracts they sell. Our Series 6 Exam study guide is designed by professional instructors to help you fully prepare to take this exam.
Series 6 Exam Course Information
This course is designed to prepare you for the Series 6 Exam, covering all of the topics outlined in the official test materials provided by FINRA. Our professional instructors created this comprehensive course to help you master these objectives. Some of the topics are listed below:
Seeks Business for the Broker-Dealer from Customers and Potential Customers
- Customer contact and developing advertising and communications materials
- Describing investment products
Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives
- Informing customers of product information
- Obtaining customer information and documents
- Creating a customer investment profile
- Supervisory approvals and requirements
Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
- Informing customers of market data and financial risks and rewards
- Analyzing investment portfolios and financial statements to make investment recommendations
- Communicating disclosures, including expenses and fees, and account information
Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
- Providing current quotes on offerings and trades
- Regulatory requirements for processing and confirming transactions
- Resolving disputes and complaints
Series 6 Exam Course Format
Our Series 6 Exam study guide course is comprised of 17 chapters, each focused on specific topics related to topics covered on this financial exam. Each chapter is broken down into 4 -10 video lessons, which are no longer than ten minutes, with a practice quiz that can reinforce what you have studied.
Series 6 Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
- Number of Questions: 50 questions
- Question Type: Multiple-choice
- Time Limit: 1 hours and 30 minutes
- Exam Cost: $40
Series 6 Exam Breakdown
|Series 6 Exam Concept||Percentage of the Series 6 Exam||Approximate Number of Questions|
|Seeks Business for the Broker-Dealer from Customers and Potential Customers||24%||12|
|Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives||16%||8|
|Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records||50%||25|
|Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions||10%||5|
Registering and Preparing for the Series 6 Exam
To register for the Series 6 Exam, you must first be sponsored by a FINRA member firm and approved as a candidate by a state regulatory agency and then enroll for a FINRA exam. You will then have 120 days to schedule your exam online or over the phone by providing your name, FINRA ID, phone number of your sponsoring firm, and the name of the exam you are registering for. On your scheduled test day, bring your government-issued ID to the test center 30 minutes early to allow time for the check-in procedure.
This course was designed by professional instructors to help you prepare specifically for the Series 6 Exam. The engaging text and video lessons are aligned with sections of content on the test and cover all key words and products. Use the quizzes to self-evaluate your test readiness, and review lessons as many times as you need to while you study for this exam.
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