Series 6 Exam Details
The FINRA® revised Series 6, Investment Company and Variable Contracts Products Representative Qualification Exam is required of individuals soliciting the purchase or sale of redeemable securities (mutual funds), variable contracts (variable annuities) and insurance premium funding programs (variable life) issued by insurance companies.
Exam Restructuring
On October 1, 2018, FINRA restructured the Series 6 exam. New candidates are required to pass the Securities Industry Essential (SIE) exam along with a Series 6 exam to obtain the Investment Company and Variable Contracts Products registration. Kaplan has study materials available for the SIE exam as well as the Series 6 exam.
Corequisites
SIE
Exam Format
50 multiple-choice questions
Exam Duration
1 hours, 30 minutes
Outline of Topics Covered
- Seeks business for the broker-dealer from customers and potential customers
- Opens accounts after obtaining and evaluating customers’ financial profile and investment objectives
- Provides customers with information about investments, makes suitable recommendations, transfers assets, and maintains appropriate records
- Obtains and verifies customers’ purchase and sales instructions; processes, completes, and confirms transactions
Best Practices Guide
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
Attention Colorado Students
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
Begin Preparing for the Series 6 Exam
Premium Package
Live and Online Options
Our most comprehensive study package, the Premium Package, has everything you need to effectively prepare for your qualification exam, including guidance from an experienced instructor.
Essential Package
Self-Study Option
The Essential Self-Study Package gives you the flexibility of studying on your schedule. Planning your exam preparation is made simple with our customizable Study Plan that schedules daily tasks based on your study time frame and exam date.
Basic Package
Self-Study Option
The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Plan based on your schedule and exam date.