This exam assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.Candidate must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take the exam.The SIE is a corequisite to this exam. Candidates must pass both the Series 6 exam and the SIE exam to obtain this registration.
Series 6 at a Glance
|Number of Items||50|
The Series 6 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of an investment company and variable contracts products representative.
The table below lists the allocation of exam questions for each main job function.
|Job Functions||Percentage of Exam Questions||Number of Questions|
|(F1) Seeks Business for the Broker-dealer from Customers and Potential Customers||24%||12|
|(F2 Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives||16%||8|
|(F3) Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records||50%||25|
|(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions||10%||5|