Series 6 Exam: Investment Company Products/Variable Contracts Limited Representative

The Series 6 is for professionals who are limited to soliciting mutual funds, variable annuities, and initial offerings of closed‐end funds.

FIRE's Series 6 Exam Prep Features

  • Online self-study modules
  • Recorded web tutorial sessions
  • Online quizzes and Final exams.  Your average score on our final exams is typically within 3 points of your actual score
  • FIRE's Green Light plan ensuring you stay on track (90%+ pass rate)
  • Free on-demand printing of online materials
  • Unlimited toll-free telephone and email access to our expert trainers

Green Light

FIRE's exclusive Green Light plan is designed to maximize your chances of passing your exam by ensuring your training remains on schedule, gauges your readiness and promotes confidence.  A Green Light certificate is issued by completing 100% of the module quizzes and exams and averaging at least the minimum passing score on your first attempt.  Students that achieve a Green Light pass their exams over 90% of the time!

Topics

  • Equities
  • Corporate Bonds
  • Government Securities
  • Municipal Securities
  • Securities Markets
  • Economic Markets
  • Investment Companies
  • Variable Contracts & Retirement Plans
  • Taxation
  • Customer Accounts
  • FINRA Rules
  • Federal & State Regulations

Modules = 12

Exam Prep Study Time = 75 hours

Series 6 Exam Overview

You will have 2 hours and 15 minutes to complete the 100-question exam with a passing score of 70%.

The Financial Industry Regulatory Authority, FINRA administers the qualification examinations. If you have questions about the Series 6 exam, you may find more information on the FINRA Regulators website at www.finra.org.

You must file a Form U-4 with FINRA to open an exam window. This is usually done via your sponsoring firm's registration/licensing department. Once your form is approved by FINRA, which usually takes two weeks, you will be given a 120-day window in which to take your exam. You may download forms from the FINRA Regulation, Inc. website at www.finra.org.

The exam is given through testing centers across the country. To schedule an appointment with the nearest center, please contact your compliance department for directions.

Questions on the Series 6 Exam

  • Mutual Funds 35
  • Rules and Regulations 26
  • Insurance Products 24
  • Other 15

How to Schedule Your Exam

To take the Series 6 exam, your firm must first file your Form U-4 and open a window with FINRA. Once that window is open, you may schedule your exam by contacting either of the testing centers authorized to administer the Series 6 on behalf of FINRA:

• PearsonVUE — www.pearsonvue.com, or 866-396-6273, or
• Prometric — www.prometric.com, or 800-578-6273

Completion of the Exam

You will find out if you passed the exam as soon as you submit it, and you will be provided with a printout of your results.  The testing center will notify FINRA of your results, and FINRA will make the information available to your firm via WebCRD, FINRA's Central Registration Depository.