Series 6 Exam Secrets Study Guide‪:‬

This Series 6 study guide includes Series 6 practice test questions. Our Series 6 study guide contains easy-to-read essential summaries that highlight the key areas of the Series 6 test. Mometrix's Series 6 test study guide reviews the most important components of the Series 6 exam.

The Series 6 Exam is extremely challenging and thorough test preparation is essential for success. Series 6 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 6 Exam.

Series 6 Exam Secrets Study Guide includes:

A detailed overview of the Series 6 Exam
An analysis of regulatory fundamentals and business development
A guide to evaluating customers' financial information, identify investment objectives, provide information on investment products, and make suitable recommendations
An in-depth look at opening, maintaining, transferring, closing accounts, and retaining appropriate account records
A breakdown of obtaining, verifying, and confirming customer purchases and sales instructions
Comprehensive practice questions with detailed answer explanations


It's filled with the critical information you'll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the Financial Industry Regulatory Authority (FINRA) expects you to have mastered before sitting for the exam.

The Regulatory Fundamentals and Business Development section covers:

Security
FINRA
FINRA By-Laws
Investment Advisers Act of 1940
Prospectus information
Regulation D


The Evaluate Customers' Financial Information, Identify Investment Objectives, Provide Information on Investment Products, and Make Suitable Recommendations section covers:

Determining a suitable investment recommendation
Impact on risk tolerance
Fixed and variable annuities
Variable life insurance
Common stock
Benefits of breakpoints, rights of accumulation, and letters of intent
Variable contracts of an insurance company
IRA
Open-end investment company
Investment risk


The Open, Maintain, Transfer, and Close Accounts, and Retain Appropriate Account Records section covers:

Individual registration and joint tenants with rights of survivorship
Regulation S-P (Privacy of Consumer Financial Information)
Bank Secrecy Act


The Obtain, Verify, and Confirm Customer Purchase and Sale Instructions section covers:

Cash and margin accounts
Rule 10b-10 of the Securities Exchange Act of 1934
Code of procedure


Any test prep guide is only as good as its practice questions and answers, and that's another area where our guide stands out. Our test designers have provided scores of test questions that will prepare you for what to expect on the actual Series 6 Exam. Each answer is explained in depth, in order to make the principles and reasoning behind it crystal clear.

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