The Series 6 exam the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) assesses the competency of an entry-level representative to perform his or her job as an investment company and variable contracts products representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an investment company and variable contract products representative, including sales of mutual funds and variable annuities.
Effective October 1, 2018, candidates must pass the Securities Industry Essentials (SIE) exam and a revised Series 6 to obtain the Investment Company and Variable Contracts Products registration. For more information about the SIE and Series 6 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(7).
Step 1: Learn the material to pass (click on the job function to learn each section):
| 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 |
| TOTAL | 100% | 50 |
Step 2: Study Sample Questions
How to study the sample questions
Accelerated Learning
Series 6 Exam 1
Series 6 Exam 2
Series 6 Exam 3
Series 6 Exam 4
Traditional Learning
Series 6 Exam 1
Series 6 Exam 2
Series 6 Exam 3
Series 6 Exam 4