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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Series 6 Online Study Guide

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Exam Details

 
Time Limit: 2 hours and 15 minutes
Cost: $100
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
 

 

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