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The Series 6 exam is the Investment Company and Variable Contracts Products Representative Qualification
Exam. The examination is developed and maintained by the Financial Industry Regulatory Authority (FINRA).
This Content Outline provides a comprehensive guide to the subjects
covered on the Investment Company and
Variable Contracts Products Representative Qualification exam (Series 6). The outline is intended to
familiarize examination candidates with the range of subjects covered on the examination, as well as the depth of
knowledge required. trial
questions are also included to acquaint candidates with the types of multiple-choice
questions used on the examination. It is recommended that candidates refer to the content outline as part of their
preparation to take the examination. Candidates are responsible for planning their course of study in preparation for
the examination.
The Series 6 exam is designed to assess the competency of entry-level Investment Company and Variable
Contracts Products Representatives. It is intended to safeguard the investing public by helping to ensure that
Investment Company and Variable Contracts Products Representatives are competent to perform their jobs. Given
this purpose, the Series 6 exam seeks to measure the degree to which each candidate possesses the
knowledge, skills and abilities needed to perform the critical functions of an Investment Company and Variable
Contracts Products Representative. For more information about the permissible activities of an Investment Company
and Variable Contracts Products Representative.
Job Functions Number of Questions
Function 1 Regulatory fundamentals and business development 22
Function 2 Evaluates customers financial information, identifies investment objectives, provides information on investment products, and makes suitable recommendations 47
Function 3 Opens, maintains, transfers and closes accounts and retains appropriate account records 21
Function 4 Obtains, verifies, and confirms customer purchase and sale instructions 10
Total 100
The Series 6 Content Outline was developed based on the results of a job analysis study of Investment Company
and Variable Contracts Products Representatives. The job analysis process included collecting data about the job
functions, tasks and required knowledge of Investment Company and Variable Contracts Products Representatives
from a wide variety of firms using numerous data collection techniques, including a survey.
To ensure and sustain the job relevance of the examination, under the guidance of FINRA staff, a committee of
industry representatives (“the Committee”) writes, reviews and validates all test questions. Test questions are
subjected to multiple reviews prior to inclusion on the examination and each question is linked directly to a
component of the content outline. Test questions vary in difficulty and complexity. Each question will have only one
correct or best answer.
The bank of test questions changes constantly as a result of amendments to, or the introduction of, government and
self-regulatory organization (SRO) rules and regulations, changes in industry practice and the introduction of new
products. It is the candidates responsibility to keep abreast of such changes when preparing to take the
examination. exam questions and their statistical performance are analyzed routinely by FINRA staff and the
Committee to ensure that test questions continue to be relevant to the functions of Investment Company and Variable
Contracts Products Representatives. exam questions are updated when necessary to reflect current industry
practices and government and SRO rules and regulations.
The examination is administered via computer. A tutorial on how to take the examination via computer is provided
prior to taking the examination. Each candidates examination includes 5 additional, unidentified pretest questions
that do not contribute toward the candidate's score. The 5 questions are randomly distributed throughout the
examination. Therefore, each candidates examination consists of a total of 105 questions (100 scored and 5
unscored). Each scored test question is worth one point. There is no penalty for guessing. Therefore, candidates
should attempt to answer all questions. Candidates will be allowed 135 minutes to complete the examination.
Scratch paper and basic electronic calculators will be provided to candidates by the test administrator, and must be
returned to the test center administrator at the end of the testing session. Some test questions involve calculations.
Only calculators provided by the test center administrators are allowed for use during the examination.
Candidates will not be permitted to bring any reference material to their testing session. Severe penalties are
imposed on candidates who cheat or attempt to cheat on FINRA-administered examinations.
Following a well-established process known as standard setting, FINRA determines the passing score for the
examination based on the judgment of a committee of industry professionals with the designated registration. For the
Series 6 exam, the passing score is 70. This passing score reflects the competency needed to hold the designated
registration.
All candidate test scores have been placed on a common scale using a statistical adjustment process known as
equating. Equating scores to a common scale accounts for the slight variations in difficulty that may exist among the
different sets of exam questions that candidates receive. This allows for a fair comparison of scores and ensures that
every candidate is held to the same passing standard regardless of which set of exam questions he or she received.
On the day of the test, candidates will receive a report of their test results both on screen and in paper format at the
end of their test session. The score report will indicate pass/fail status and a score profile indicating performance
based on each major content area covered on the examination. It is recommended that candidates who fail the
examination review the information provided on the score report, as they may want to focus on the areas that they
performed poorly on when preparing to retake the examination. For security reasons, the examination and individual
test questions are not available for review after taking the examination.
FUNCTION 1 – Regulatory fundamentals and business development
1.1: Demonstrates understanding of fundamental regulatory knowledge and provides personal
and professional information required to be disclosed to obtain and maintain appropriate
registration(s)
Knowledge of:
• General industry regulations, including SEC, SRO, and state requirements
• Registration, qualification, continuing education, and termination of employment of associated
persons
• Permitted activities for registered and non-registered associated persons
FINRA By-Laws
Article I – Definitions
Paragraph (rr) – Person Associated with a Member
Article III – Qualifications of Members and Associated Persons
Section 1 – Persons Eligible to Become Members and Associated Person of Members
Section 3 – Ineligibility of Certain Persons for Membership or Association
Section 4 – Definition of Disqualification
Article V – Registered Representatives and Associated Persons
FINRA Rules
1010 – Electronic Filing Requirements for Uniform Forms
1122 – Filing of Misleading Information as to Membership or Registration
1250 – Continuing Education Requirements
2263 – Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4
3110 – Supervision
3270 – Outside Business Activities of an Associated Person
4530 – Reporting Requirements
8312 – FINRA BrokerCheck Disclosure
NASD Rules
IM-1000-2 – Status of Persons Serving in the Armed Forces of the United States
1031 – Registration Requirements
1032(b) – Investment Company and Variable Contracts Products Representative
1060 – Persons Exempt from Registration
1070 – Qualification Exams and Waiver of Requirements
3040 – Private Securities Transactions of an Associated Person
3050 – Transactions for or by Associated Persons
Securities Exchange Act of 1934
Section 3(a) – Definitions and Application of Title
Section 15 – Registration and Regulation of Brokers and Dealers
Section 15A – Registered Securities Associations
Section 17(f)(2) – Accounts and Records, Reports, Exams of Exchanges, Members,
and Others
Rule 17f-2 – Fingerprinting of Security Industry Personnel
Investment Advisers Act of 1940
Section 201 – Findings
Section 202(a) – Definitions (of investment advisers and persons associated with an
investment adviser)
Section 203 – Registration of Investment Advisers
1.2: Solicits business by contacting and building relationships with customers and prospects in
person, by telephone, mail or electronic means
Knowledge of:
• Product definitions and classifications
• Required approvals and content standards of public communications: retail communications,
institutional communications, correspondence, research reports, telephone solicitations
• Appropriate use of professional designations
• Definition of regulated investment company by the Internal Revenue Code
• “Conduit” or “pipeline” theory, required distribution of income and realized capital gains
• “Do-not-call” lists and other telemarketing requirements
FINRA Rules
2210 – Communications with the Public
2212 – Use of Investment Companies Rankings in Retail Communications
2213 – Requirements for the Use of Bond Mutual Fund Volatility Rating
2214 – Requirements for the Use of Investment Analysis Tools
3160 – Networking Arrangements Between Members and Financial Institutions
3170 – Tape Recording of Registered Persons by Certain Firms
3230 – Telemarketing
4512 – Customer Account Information
5230 – Payments Involving Publications that Influence the Market Price of a
Security
NASD Rules
IM-2210-2 – Communications with the Public About Variable Life Insurance and Variable
Annuities
Securities Act of 1933
Section 2 – Definitions; Promotion of Efficiency, Competition, and Capital Formation
(definitions of “offer to sell” and “prospectus”)
Section 5 – Prohibitions Relating to Interstate Commerce and the Mails
Section 17 – Fraudulent Interstate Transactions
Rule 134 – Communications Not Deemed a Prospectus
Rule 482 – Advertising by an Investment Company as Satisfying Requirements of Section
10 of Securities Act of 1933
Investment Company Act of 1940
Section 2 – General Definitions
Section 3 – Definition of Investment Company
Section 4 – Classification of Investment Companies
Section 5 – Subclassification of Management Companies
Section 6 – Exemptions
Section 8 – Registration of Investment Companies
Rule 34b-1 – Sales Literature Deemed to Be Misleading
1.3: Discusses the products and services offered with customers and prospects and distributes
offering and disclosure documents
Knowledge of:
• Content and delivery of prospectuses, Statement of Additional Information (SAI), and other offering
documents
• Networking arrangements
• Regulations related to marketing/prospecting
• Initial privacy disclosures to customers (e.g., definitions, privacy and opt-out notices, disclosure
limitations, exceptions)
FINRA Rules
2020 – Use of Manipulative, Deceptive, or other Fraudulent Devices
2266 – SIPC Information
NASD Rule
2420 – Dealing with Non-Members
Securities Exchange Act of 1934
Section 3(a)(4)(B) – Definitions and Application, Broker (Exception for Certain Bank
Activities)
Section 10 – Manipulative and Deceptive Devices
Rule 10b-3 – Employment of Manipulative and Deceptive Devices by Brokers or Dealers
Securities Act of 1933
Section 10 – Information Required in Prospectus
Section 23 – Unlawful Representations
Regulation D – Rules Governing the Limited Offer and Sale of Securities Without
Registration Under the Securities Act of 1933
Rule 431 – Summary Prospectuses
Rule 498 – Summary Prospectuses for Open-End Management Investment Companies
Rule 501 – Definitions and Terms Used in Regulation D
Rule 506 – Exemption for Limited Offers and Sales Without Regard to Dollar Amount of
Offering
Investment Company Act of 1940
Section 35 – Unlawful Representations and Names
Rule 35d-1– Investment Company Names
1.4: Conducts seminars and holds other public forums with customers and prospects, and
obtains appropriate approvals
Knowledge of:
• Definitions of retail communications, institutional communications and correspondence, including
categorization of public appearances, seminars and related sales literature and advertising
• Regulations regarding communications with the public
• Standards and approval of communications
FINRA Rules
2210 – Communications with the Public
NASD Rule
IM-2210-2 – Communications with the Public About Variable Life Insurance and Variable
Annuities
Securities Act of 1933
Section 12 – Civil Liabilities Arising in Connection with Prospectuses and Communications
Rule 135a – Generic Advertising
Rule 135b – Materials Not Deemed an Offer to Sell or Offer to Buy Nor a Prospectus
Rule 156 – Investment Company Sales Literature
Rule 482 – Advertising by an Investment Company as Satisfying Requirements of Section
10 of Securities Act of 1933
Investment Company Act of 1940
Section 30(b) – Periodic and Other Reports; Reports of Affiliated Persons
Rule 34b-1 – Sales Literature Deemed to be Misleading
FUNCTION 2 – Evaluates customers financial information, identifies
investment objectives, provides information on investment products, and
makes suitable recommendations
2.1: Gathers customers financial and non-financial information to identify, analyze, and assess
risk tolerance, investment experience and sophistication level
Knowledge of:
• Essential facts regarding customers and customer relationships
• Financial and personal profile of a customer (e.g., age, other investments, financial situation and
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