FINRA Series 6 Exam
FINRA Series 6 Exam
The FINRA Series 6 Exam lessons are audio lessons to assist in passing the Series 6 Exam which is required to sell investment company and variable contract products representative, including sales of mutual funds and variable annuities.
Candidates must pass both the Securities Industry Essentials (SIE) exam and the Series 6 exam to obtain the Investment Company and Variable Contracts Products registration.
Individuals passing these exams may be licensed to sell a limited set of securities products:
- Mutual funds
- Closed-end funds on the initial offering only
- Unit investment trusts
- Variable Annuities
This exam is administered by the Financial Industry Regulatory Authority (FINRA)
The FINRA Series 6 Exam is an entry level exam. Once registered you will able to offer investment company and variable investment products to investors
In order to be able to offer other investment products to individuals such as Stocks and Bonds a Series 7 License is Required.
The exam candidate is required to master quite a bit of material. Our audio lessons are designed to act a audio supplement to the regular book or classwork needed to prepare for this exam.
Table of contents for the Series 6 Exam Audio Lessons
Series 6 Exam Prep
Audio Lessons for the FINRA Series 6 Exam
Table of Contents
Lesson 1: Exam Overview (25:24)
Lesson 2: Types of Investments, Broker-Dealer Records, Customer Accounts (27:46)
Lesson 3: Sales Blotter, Types of Account Ownership, Know Your Customer (26:20)
Lesson 4: Investment Vehicles, Measuring Yield, Options (25:35)
Lesson 5: Debt Securities (25:51)
Lesson 6: Investment Objectives (27:02)
Lesson 7: Time Horizon (25:25)
Lesson 8: Mutual Funds (25:20)
Lesson 9: Mutual Funds pt. 2 (26:38)
Lesson 10: Annuities (26:32)
Lesson 11: Investment Risk (27:13)
Lesson 12: Secondary Market (25:31)
Lesson 13: Code of Procedure (25:28)
Lesson 14: Series 6 designation, Security and Exchange Act of 1934 (25:23)
Lesson 15: Registration and disclosure (25:38)
Lesson 16: Communications (26:07)
Lesson 17: FINRA regulations (25:26)
Lesson 18: Review 1 (26:49)
Lesson 19: Review 2 (26:51)
Lesson 20: Review 3 (28:03)
Total Length 8 Hours 44 Min
Do you need to pass the FINRA Series 6 Exam?
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You may at some point need to pass the Series 7 Exam!