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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.
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.
| Major Job Functions | Number of Exam Items |
|---|---|
| (F1) Seeks Business for the Broker-dealer from Customers and Potential Customers | 12 |
| (F2 Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 8 |
| (F3) Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets, and Maintains Appropriate Records | 25 |
| (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes, and Confirms Transactions | 5 |
| TOTAL | 50 |
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.
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:
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