FINRA Series 6 FAQ
Answers to the most common questions about the Series 6 exam.
How to get your Series 6
The first step to getting a Series 6 license is to pass the FINRA SIE Exam - or to have been grandfathered in by holding a FINRA representative-level registration on October 1, 2018. See our Achievable SIE program for more info.
The second step to getting your Series 6 license is to be sponsored by a FINRA-registered firm or a self-regulatory organization (SRO), typically your employer. After that, all you need to do is study and pass the test.
What's covered on the Series 6?
The Series 6 exam - the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) - is designed to test the competency of an entry-level candidate to perform their job as an investment company and variable contracts products representative. Passing the Series 6 is required for representatives to sell these products.
Topic
Test questions
Seeks Business for the Broker-Dealer from Customers and Potential Customers
12 (24%)
Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives
8 (16%)
Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets, and Maintains Appropriate Records
25 (50%)
Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions
5 (10%)
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