This Series 6 study guide includes Series 6 practice test questions. Our Series 6 study guide contains easy-to-read essential summaries that highlight the key areas of the Series 6 test. Mometrix's Series 6 test study guide reviews the most important components of the Series 6 exam.
The Series 6 Exam is extremely challenging and thorough test preparation is essential for success. Series 6 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 6 Exam.
Series 6 Exam Secrets Study Guide includes:
- A detailed overview of the Series 6 Exam
- An analysis of regulatory fundamentals and business development
- A guide to evaluating customers' financial information, identify investment objectives, provide information on investment products, and make suitable recommendations
- An in-depth look at opening, maintaining, transferring, closing accounts, and retaining appropriate account records
- A breakdown of obtaining, verifying, and confirming customer purchases and sales instructions
- Comprehensive practice questions with detailed answer explanations
It's filled with the critical information you'll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the Financial Industry Regulatory Authority (FINRA) expects you to have mastered before sitting for the exam.
The Regulatory Fundamentals and Business Development section covers:
- Security
- FINRA
- FINRA By-Laws
- Investment Advisers Act of 1940
- Prospectus information
- Regulation D
The Evaluate Customers' Financial Information, Identify Investment Objectives, Provide Information on Investment Products, and Make Suitable Recommendations section covers:
- Determining a suitable investment recommendation
- Impact on risk tolerance
- Fixed and variable annuities
- Variable life insurance
- Common stock
- Benefits of breakpoints, rights of accumulation, and letters of intent
- Variable contracts of an insurance company
- IRA
- Open-end investment company
- Investment risk
The Open, Maintain, Transfer, and Close Accounts, and Retain Appropriate Account Records section covers:
- Individual registration and joint tenants with rights of survivorship
- Regulation S-P (Privacy of Consumer Financial Information)
- Bank Secrecy Act
The Obtain, Verify, and Confirm Customer Purchase and Sale Instructions section covers:
- Cash and margin accounts
- Rule 10b-10 of the Securities Exchange Act of 1934
- Code of procedure
Any test prep guide is only as good as its practice questions and answers, and that's another area where our guide stands out. Our test designers have provided scores of test questions that will prepare you for what to expect on the actual Series 6 Exam. Each answer is explained in depth, in order to make the principles and reasoning behind it crystal clear.
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