Series 6 Exam

This exam is administered by the Financial Industry Regulatory Authority (FINRA) Upon successful completion of the Series 6, an individual will have the qualifications needed to sell open end mutual funds and variable annuities. In order to conduct business in annuity contracts the series 6 agent will also be required to pass a state life insurance exam

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Exam Details

Time Limit: 2 hours and 15 minutes
Cost:
Number of Questions: 100, plus 5 "pre-test" questions
Passing Score: 70%
Format: Multiple Choice
Prerequisites: You must be sponsored by a financial company who is a member of FINRA, or a Self-Regulatory Organization (SRO).
Exam Date(s): Any weekday
Exam Locations: Find your U.S. or international exam center here
Official Exam Website: http://www.finra.org

Exam Topic Weights


Function 1 - Regulatory fundamentals and business development - 22 Questions

Function 2 - Evaluates customer financial information, identifies investment objectives, provides information on investment products, and makes suitable recommendations -
47 Questions

Function 3 - Opens, maintains, transfers and closes accounts and retains appropriate account records - 21 Questions

Function 4 - Obtains, verifies, and confirms customer purchase and sale instructions -
10 Questions

TOTAL 100 Questions



Frequently Asked Questions

  • 1. Is it possible to take the Series 6 exam without being sponsored?
    View Answer »
  • 2. What activities can an Investment Company Products/Variable Contracts Limited Representative perform?
    View Answer »
  • 3. I failed the Series 6 exam. How long must I wait before I can take it again?
    View Answer »

Question of the Week

If an individual becomes a policyholder of a variable life insurance policy and is uncertain whether this is the appropriate instrument for him and his family; within what period of time must the insurance company allow him to exchange the variable policy for a traditional whole life policy without additional evidence of insurability?

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