What is the Series 6 Exam?
Series 6 Lesson 1. This podcast is an introduction to what is required to pass the FINRA Series 6 Exam.
In Series 6 Lesson 1 we cover:
What is the FINRA Exam?
FINRA = Financial Industry Regulatory Authority, Inc.
It is the self-regulating body for setting standards and regulation for financial professionals.
The FINRA exam is an essential part of becoming a successful financial professional.
Requirements to Take the Exam
- You must be sponsored by a FINRA member firm.
- The firm must fill out Form U4 (Uniform Application for Securities Industry Registration or Transfer)
- The firm must pay the examination fee through FINRA’s Central Registration Depository (CRD)
- Find a a Prometric Testing Center in the United States, Canada, Mexico, or their territories (https://securereg3.prometric.com/Welcome.aspx)
Series 6 Lessons
The Series 6 Lessons is a podcast for those preparing to take this exam. It consists of portions of the audio lessons designed to help the student prepare and pass for the series 6 Exam. The series 6 Exam is an entry level exam allowing those who pass the exam and work for a firm licensed to sell investment company products and variable contract products.
The FINRA Series 6 Exam assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.
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 the SIE Exam refer to the SIE Podcast available on Apple Podcasts
The next exam the Finance Professional will want to pass would probably be the Series 7 Exam.
Table of Contents
Lesson 1: Exam Overview (25:06) Lesson 2: (27:26) Lesson 3: (25:59) Lesson 4: (25:10) Lesson 5: (25:30) Lesson 6: (22:35) Lesson 7: (26:40) Lesson 8: (25:03) Lesson 9: (25:01) Lesson 10: (26:18) Lesson 11: (26:10) Lesson 12: (26:52) Lesson 13: (25:11) Lesson 14: (25:06) Lesson 15: (25:01) Lesson 16: (25:15) Lesson 17: (25:50) Lesson 18: Review 1 (26:29) Lesson 19: Review 2 (27:38) Lesson 20: Review 3 (25:03)
Podcast: Play in new window | Download (Duration: 11:04 — 4.6MB)
Subscribe: Apple Podcasts | RSS | Subscribe to Podcast
