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. For what reasons are electronics stocks commonly purchased by a value investor?

    Learn about the breakdown of subjects on the Series 6 while reviewing important aspects of the exam, including its content ... Read Answer >>
  2. What are the differences between the Series 6 exam and the Series 7 exam?

    Learn about the regulatory exams needed to become a limited or registered representative and the main differences between ... Read Answer >>
  3. How are variable annuities regulated?

    Discover the various rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ... Read Answer >>
  4. If I have only a limited amount of time to study for the Series 6, what should I ...

    Learn what to focus on when studying for the Series 6 while reviewing important aspects of the exam, including its content ... Read Answer >>
  5. 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 Answer >>
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