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.

  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 ... Read Full Answer >>
  2. How should a change in accounting principle be recorded and reported?

    A change in accounting principle is the term used when a business selects between different generally accepted accounting ... Read Full Answer >>
  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. ... Read Full Answer >>
  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 ... Read Full Answer >>
  5. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Full Answer >>
  6. How can I find out if my employer is a member of FINRA?

    To find out if your employer is a member of the Financial Industry Regulatory Authority or FINRA (previously the National ... Read Full Answer >>
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  1. Security

    A financial instrument that represents an ownership position ...
  2. Series 6

    A securities license entitling the holder to register as a limited ...
  3. Financial Conduct Authority (UK) - FCA

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

    A regulatory group that reviews documentation that is submitted ...
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    A person who prepares investigative reports on equity securities. ...
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