What will I learn?
Securities industry professionals holding a Series 6 license are registered as Investment Company and Variable Contracts Product Representatives.
Series 6 registered representatives are permitted to solicit, purchase, or sell mutual funds, closed-end funds on the initial public offering only,
variable annuities and life insurance (if additional licensing requirements have been met), unit investment trusts, and municipal fund securities.
The Series 6 qualification exam measures the required knowledge needed to perform the critical job functions of an investment company and variable
contract products representative. This course will deliver the content needed to successfully complete the examination requirements.
Testable topics include:
Registration and distribution process for new issues, types and characteristics of investment products, communications with the public, investment
company registration requirements, types of mutual funds, prospectus requirements, evaluating customers’ investment profiles, investment objectives,
suitable recommendations, types of investment returns, tax considerations, opening and maintaining customer accounts, order tickets and trade
confirmations, complaint procedures, and FINRA methods of formal resolution, sanctions and penalties.