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This exam is administered by The Financial Industry Regulatory Authority (FINRA). Upon successful completion of the Series 6, an individual will have the qualifications needed to sell mutual funds and variable annuities.
$40 US. Note that this is the examination enrollment fee ONLY – other fees may also apply.
You must be sponsored by a FINRA member firm. The SIE is a co-requisite to the series 6 exam.
Series 6 Candidates must also pass the securities industry essentials exam in order to become fully registered as an investment company and variable contract registered representative. The Series 6 exam is broken down into four critical job functions. These functions are as follows:
|Function 1 – Seeks Business for the Broker-dealer from Customers and Potential Customers||12|
|Function 2 – Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives||8|
|Function 3 – Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records||25|
|Function 4 – Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions||5|