FINRA Series 6 – Exam Information

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.

Enrollment Fee:

$40 US. Note that this is the examination enrollment fee ONLY – other fees may also apply.

Prerequisite:

You must be sponsored by a FINRA member firm. The SIE is a co-requisite to the series 6 exam.

Format:

Multiple Choice

Number Of Questions: 50

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:

Objective # Questions
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
TOTAL   50

Series 6 Exam Textbook

Paperback 384 pages 199 test questions Published January 2019

The "go to guide" to acing the Series 6 exam - Our Series 6 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 6 exam. The Wiley Series 6 textbook is packed with test tips, Series 6 sample question and all the must know information you need to pass your exam. Our Series 6 textbook has been developed in partnership with John Wiley & Sons to ensure you have the absolute best Series 6 material.

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Series 6 Exam Prep Software

Over 1200 questions Works with all major browsers and mobile devices

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 6 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 6 exam. Series 6 GreenLight Guarantee ™ - pass our GreenLight exam within 5 days of your actual exam, and if you do not pass, we will refund your money.

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Series 6 Online Video Class

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Our all new series 6 video class is hands down the best series 6 online class in the market today. Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight test points for easy note taking. This video class walks you through all of the topics you need to know to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all of the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 6 video will bring all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 6 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 6 video features include: 1) 10 hours of HD video broken into 11 sections 2) Over 1.5 hours on mutual funds , more than 3 hours on customer recommendations and rules and regulations 3) Our videos are accessible on all devices ( all computers, phones and tablets) 4) Our series 6 video class contains new test tips and details exactly what topics are being tested and how they are being tested 5) Our series 6 video course follows our books chapter by chapter and topic by topic 6) 14 Chapter Tests 7) Instant unlimited access 24X7 for 6 months

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Series 6 Mobile Ebook

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If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 6 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 6 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach. If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders. Want to see what other students are doing? Then join a study group and share highlights, notes, questions, test tips and ideas with each other.

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