This exam is administered by The Financial Industry Regulatory Authority (FINRA). Upon successful completion of the Series 6, an individual will have the qualifications needed to sell mutual funds and variable annuities.
$100 US. Note that this is the examination enrollment fee ONLY - other fees may also apply.
You must be sponsored by a FINRA member firm.
Effective December 16th 2013 FINRA has amended its Series 6 outline and changed the emphasis for test takers. The number of questions and the passing score will remain the same but FINRA's modifications to its exams continues. The Series 6 exam is now broken down into four critical job functions. These functions are as follows:
|Function 1 - Regulatory fundamentals and business development||22|
Function 2 - Evaluates customer financial information, identifies investment objectives, provides
information on investment products, and makes suitable recommendations
|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|