Preparatory course Series 6 USA American Broker Examination (FINRA)
Series 6 – Investment Company and Variable Contracts Products Representative Exam
The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an investment company and variable contract products representative, including sales of mutual funds and variable annuities.
Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 6 exam to obtain the Investment Company and Variable Contracts Products registration. For more information about the SIE and Series 6 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(7).
The Series 6 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the six major job functions of an options principal. You can find them in the curriculum section.
A candidate who passes the Series 6 exam is qualified for the solicitation, purchase and/or sale of the following securities products:
- Mutual funds (closed-end funds on the initial offering only)
- Variable annuities
- Variable life insurance
- Unit investment trusts (UITs)
- Municipal fund securities [e.g., 529 savings plans, local government investment pools (LGIPs)]
This information is based on https://www.finra.org/registration-exams-ce/qualification-exams/series6