Series 6 Lessons Introduction

Series 6 Exam Prep

Audio Lessons for the FINRA Series 6 Exam

This series of audio lessons is designed to assist in the preparation to for the FINRA Series 6 Exam.

Passing the Series 6 exam is required for and individual who wishes to engage in the sale of Investment Company and Variable Contracts.

The Series 6 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 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)

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