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Exam Information
Official specifications published by FINRA
Exam Format
90 min
55
70%
Representative
Registration
$40 USD
Prometric, FINRA Testing Centers, or online proctoring
English
Validity
No expiration while associated with member firm
Maintain association with FINRA member firm; Complete continuing education requirements; If terminated, must requalify after 2 years
SERIES-6 Exam Topics and Domains
SERIES-6 is organized into 4 weighted domains. Expect to work with 1035 exchange processing, 529 plan providers, ABLE account providers, Account registration services, and more.
1
Seeks Business for the Broker-Dealer from Customers and Potential Customers
24%
Prospecting and Communication
Types of CommunicationsCold Calling and Telemarketing
- Identify and apply communication rules and regulations
- Understand prospecting limitations and requirements
Product Presentation and Disclosure
Required Disclosures
- Understand disclosure requirements for investment products
- Apply prospectus delivery rules
2
Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives
16%
Customer Account Opening
Know Your Customer (KYC)Account Types
- Gather and document customer information appropriately
- Select appropriate account types based on customer needs
- Apply KYC and CIP requirements
Suitability Determination
Suitability ObligationsInvestment Objectives and Risk
- Apply suitability standards to product recommendations
- Match customer objectives with appropriate products
- Document suitability determinations
3
Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
50%
Mutual Funds
Mutual Fund Structure and OperationsMutual Fund Share ClassesTypes of Mutual FundsMutual Fund Distributions and Taxation
- Calculate NAV and POP
- Determine appropriate share class for customers
- Understand mutual fund taxation
- Apply breakpoint rules
Variable Annuities
Variable Annuity StructureVariable Annuity Features and RidersVariable Annuity Payout OptionsVariable Annuity Taxation
- Explain variable annuity mechanics
- Compare payout options
- Apply tax rules to annuity transactions
- Evaluate suitability of variable annuities
Variable Life Insurance
Variable Life Insurance FeaturesVariable Universal Life (VUL)
- Compare variable life products
- Understand policy mechanics
- Explain investment risk to customers
Unit Investment Trusts (UITs)
UIT Structure and Features
- Explain UIT characteristics
- Compare UITs to mutual funds
- Determine UIT suitability
Municipal Fund Securities
529 College Savings Plans529A ABLE AccountsLocal Government Investment Pools (LGIPs)
- Understand 529 plan benefits and rules
- Apply contribution and distribution rules
- Determine suitability for education funding
4
Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
10%
Order Processing and Settlement
Order Entry and ExecutionTrade Confirmations and Statements
- Process customer orders accurately
- Ensure proper documentation
- Handle customer inquiries and complaints
Fund Transfers and Exchanges
Mutual Fund Exchanges and Transfers
- Process fund exchanges properly
- Explain tax implications
- Set up systematic plans
How do I earn this certification?
Passing SERIES-6 earns the Investment Company and Variable Contracts Products Representative certification. It sits in the Investment Products track.
Current Level Exams
Next Level Options
- Series 7 - General Securities Representative
- Series 65 - Investment Adviser Representative
- Series 66 - Uniform Combined State Law
- Series 26 - Investment Company Products/Variable Contracts Principal
Alternative Paths
- Series 7 - General Securities RepresentativeBroader product authorization including stocks and bonds
- Series 22 - Direct Participation Programs Representative Focus on limited partnerships and DPPs
- Series 82 - Private Securities Offerings Representative Specialize in private securities offerings
Practice with Precision
The PlanetCert Simulator mirrors the real exam environment with authentic questions and timed pressure.
How to study for this exam?
The most effective way to prepare for SERIES-6 is by using the PlanetCert Simulator to practice questions and review detailed explanations.
What's changed on this exam?
Current Status
- ACTIVE
- Last content update: 2024-01-01
- Announcement date: 2018-01-01
Updates
- Robo-Advisory Integration May be included in future updates
- ESG Funds Increasing coverage expected
Who should take this exam?
Securities Industry Essentials (SIE)
- Basic understanding of financial markets
- Familiarity with investment products
- Knowledge of basic mathematics and percentages