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Series 6

The Series 6 exam is designed to assess the competency of entry-level Investment Companies and Variable Contracts Products Representatives. 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. In order to obtain registration as an Investment Company and Variable Contracts Products Representative, candidates must pass both the Series 6 exam and a general knowledge co-requisite, the Securities Industry Essentials (SIE) exam. For more information about the Investment Company and Variable Contracts Products Representative registration category, see FINRA Rule 1220(b)(7).

The exam is administered via computer. A tutorial on how to take the exam is provided prior to taking the exam. Each candidate’s exam includes 5 additional, unidentified pretest items that do not contribute toward the candidate's score. The pretest items are randomly distributed throughout the exam. Therefore, each candidate’s exam consists of a total of 55 items (50 scored and 5 unscored). There is no penalty for guessing. Therefore, candidates should attempt to answer all items. Candidates will be allowed 1 hour and 30 minutes to complete the Series 6 exam.

THE SIE (Securities Industry Essentials) EXAM IS A PRE-REQUISITE TO THE SERIES 6 EXAM. THE SIE MUST BE TAKEN BY ALL REPRESENTATIVES PRIOR TO TAKING THE SERIES 6.