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Updated: Jul 27, 2026
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FINRA Series6 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | Investment Company and Variable Contracts Products Representative Examination (IR) - Series 6 |
| Exam Number: | Series 6 |
| Real Exam Qty: | 55 (50 scored, 5 unscored) |
| Passing Score: | 70% |
| Exam Format: | Multiple Choice |
| Exam Duration: | 90 minutes |
| Exam Price: | USD 75 |
| Related Certifications: | Series 6 Top-Off SIE (Securities Industry Essentials) |
| Available Languages: | English |
| Certificate Validity Period: | No fixed expiration; valid while registration with FINRA member firm is maintained |
| Recommended Training: | FINRA Qualification Exams Overview |
| Exam Registration: | FINRA Series 6 Exam Registration |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at authorized testing centers (Prometric) or remote proctored where available |
| Pre Condition: | Must be sponsored by a FINRA member firm; SIE is typically required or taken prior to or in conjunction with Series 6 registration |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
| Topic 2: Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Topic 3: Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Topic 4: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. Which of the following statements regarding both a Uniform Gifts to Minors account (UGMA) and a
Uniform Transfers to Minors account (UTMA) is false?
A) Once established, the account is irrevocable.
B) The account must be established in the name of one minor child only.
C) There can be only one custodian named on the account.
D) The assets must be re-registered in the minor child's name when the child turns 18.
2. The difference between a "redemption fee" and a "rear-end load" is that:
A) the redemption fee refers to charges incurred by the fund when it sells securities it owns; the rear-end
load is a fee that is incurred by investors in the fund when they redeem their shares of the fund.
B) the redemption fee is another name for a 12b-1 fee, which is an annual expense associated with the
fund.
C) a rear-end load is used to compensate a salesperson who has sold shares of the fund; a redemption
fee is charged to offset the expenses a fund incurs in processing share redemptions.
D) There is no difference. These are synonymous terms.
3. Which of the following statements about the over-the-counter market is true?
A) Stocks that are listed on exchange floors are also traded in the over-the-counter market.
B) Only bonds and other debt instruments are traded in the over-the-counter market.
C) Trades in the over-the-counter market are conducted via the auction process.
D) Only penny stocks are traded in the over-the-counter market.
4. Which of the following statements regarding insider trading penalties is true?
A) The SEC may seek both civil and criminal penalties against an individual who is found guilty of insider
trading.
B) A broker-dealer who is found to have provided inadequate supervision over an agent who is found
guilty of insider trading is also subject to insider trading penalties.
C) Any contemporaneous trader who has lost money due to an illegal insider trade may sue the violator
for both the amount of his losses and pain and suffering, as determined by the court.
D) Both A and C are true statements.
5. In mid-September, the stock of Amazon.com, Inc. (AMZN) is selling for $147.A January call option on the
stock is selling for $6.10 and has a strike price of $160. This call option is:
A) in the money.
B) overpriced. No one should pay $6.10 for the right to buy a share of stock for $160 when its current
market price is only $147.
C) out of the money.
D) at the money.
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: D | Question # 5 Answer: C |
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