Series-6 - Questions Answers PDF

Description

Investment Company and Variable Contracts Products Representative Qualification Examination (IR) Finra Series 6

The Finra Series 6 exam, also known as the Investment Company and Variable Contracts Products Representative Qualification Examination (IR)), evaluates a representative’s ability to perform the duties of an investment company and variable contracts products representative in an entry-level position. A candidate’s understanding of the essential duties of an investment business and representative of variable contract products, such as the sale of mutual funds and variable annuities, is evaluated through an exam. In addition, to register for investment companies and variable contracts products, candidates must pass the Series 6 test and the Securities Industry Essentials (SIE) exam. 

Finra Series 6 Exam Outline:

The investment business and representative of variable contracts products’ four primary job tasks are included in the blueprint. The distribution of series 6 licensing exam questions for each essential job function is shown in the table below.

Series 6 And 63 License Eligibility:

To be eligible to take the FINRA representative-level qualifying tests, candidates must be affiliated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm. Consult FINRA Rule 1210 for more information on the prerequisites for registration. Moreover, for the Series 6 exam, the SIE exam is a prerequisite. To become registered to sell investment companies and variable contracts, candidates must pass both the Series 6 exam and the SIE exam.

Exam Format:

The Finra series 6 certification exam consists of 50 multiple choice questions with 1 hour and 30 minutes time duration. This certification exam costs $75 and you need to score 70% to pass the final exam. 

Those who pass the Series 6 exam are eligible to solicit, buy, and/or sell the following securities products:

• mutual funds (closed-end funds on the initial offering only),
• variable annuities,
• variable life insurance,
• unit investment trusts (UITs) and
• Municipal fund securities [e.g., 529 savings plans, local government investment pools (LGIPs)].

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