A:

If you have successfully completed your Series 6 exam and are registered as an Investment Company Products/Variable Contracts Limited Representative, according to the Financial Industry Regulatory Authority (FINRA), you are qualified to perform transactions for closed-end mutual funds in an initial offering, for variable annuities and life insurance, unit investment trusts (UITs), municipal fund securities such as local government investment pools (LGIPs), and 529 plans.

For the full FINRA listing of all registered representative's securities responsibilities, click here.



RELATED FAQS

  1. I completed the Series 6, do I have to complete the entire Series 7?

    After having written the Series 6 examination, there would be significant overlap with the Series 7 in areas such as mutual ...
  2. How should a change in accounting principle be recorded and reported?

    Learn about changes in accounting principle and why businesses make them, as well as the reporting and recording requirements ...
  3. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. ...
  4. What certification series does one need to be a bond broker?

    One major requirement before one can become a bond broker is to pass the General Securities Representative Exam, commonly ...
RELATED TERMS
  1. Financial Conduct Authority (UK) - FCA

    The regulator of the financial services industry in the United ...
  2. Corporate Financing Committee

    A regulatory group that reviews documentation that is submitted ...
  3. Research Analyst

    A person who prepares investigative reports on equity securities. ...
  4. Series 23

    An exam offered by the Financial Industry Regulatory Authority ...
  5. Series 28

    An exam given by the Financial Industry Regulatory Authority ...
  6. Series 51

    An exam offered by the Financial Industry Regulatory Authority ...

You May Also Like

Related Articles
  1. Professionals

    SEC to Advisors: Implement Cybersecurity ...

  2. Professionals

    Should You Add A Securities License ...

Trading Center
×

You are using adblocking software

Want access to all of Investopedia? Add us to your “whitelist”
so you'll never miss a feature!