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Introduction
- Series 6 Exam Guide Welcome
- Purpose & Scope of Series 6 Exam
- Exam Format and Structure
- How to Use This Guide
- Study Strategies for Success
Chapter 1: Overview of the Securities Industry
- Investment Company and Variable Contracts Role
- Intro to Securities Markets
- Regulatory Environment
Chapter 2: Regulatory Fundamentals and Self-Regulatory Organizations (SROs)
- Securities and Exchange Commission (SEC)
- FINRA: Regulatory Fundamentals & SRO Roles
- State Securities Regulators and NASAA
- Other Self-Regulatory Organizations (SROs)
Chapter 3: Securities Act of 1933 and 1934
- Securities Act of 1933
- Securities Exchange Act of 1934
Chapter 4: Investment Company Act of 1940 and Investment Advisers Act of 1940
- Investment Company Act of 1940
- Investment Advisers Act of 1940
Chapter 5: Types of Securities and Investment Products
- Equity Securities
- Debt Securities
- Investment Company Products
- Variable Contracts and Insurance Products
  - Variable Annuities Overview
  - Variable Life Insurance
- Alternative Investment Products
  - Real Estate Investment Trusts (REITs)
  - Hedge Funds & Private Equity
Chapter 6: Municipal Fund Securities and Education Savings Plans
- 529 College Savings Plans
- ABLE Accounts Overview
- Local Government Investment Pools Explained
Chapter 7: Retirement Plans and Tax-Advantaged Accounts
- Individual Retirement Accounts (IRAs)
  - Traditional IRAs: Comprehensive Guide
  - Roth IRAs
- Employer-Sponsored Retirement Plans
  - 401(k) and 403(b) Plans
  - SEP and SIMPLE IRAs
- Non-Qualified Deferred Compensation
Chapter 8: Economic Factors and Financial Markets
- Macroeconomic Influences on Investments
  - Economic Indicators
  - Monetary and Fiscal Policy
- Types of Financial Markets
  - Primary and Secondary Markets
  - Market Participants and their Roles
Chapter 9: Portfolio Analysis and Investment Strategies
- Risk and Return Concepts
  - Systematic vs. Unsystematic Risk
  - Measuring Investment Performance
- Asset Allocation & Diversification
- Portfolio Construction Techniques
  - Modern Portfolio Theory
  - Investment Strategies
Chapter 10: Behaviors and Strategies in the Financial Markets
- Behavioral Finance in Financial Markets
- Market Analysis Approaches
  - Fundamental Analysis
  - Technical Analysis Approaches
Chapter 11: Client Acquisition and Business Development
- Prospecting and Networking
- Marketing and Advertising Regulations in Finance
- Telemarketing and Do-Not-Call Rules
Chapter 12: Opening Customer Accounts
- Gathering Client Information
  - Know Your Customer (KYC)
  - Customer Identification Program
- Account Types and Registration
  - Individual and Joint Accounts
  - Corporate and Trust Accounts
- Retirement and Custodial Accounts
Chapter 13: Suitability and Investment Recommendations
- Understanding the Client's Investment Profile
  - Financial Situation and Needs
  - Risk Tolerance and Time Horizon
- Regulatory Requirements for Suitability
  - FINRA Rule 2111
  - Reg BI Suitability Requirements
- Making Appropriate Recommendations
Chapter 14: Providing Information and Disclosures to Customers
- Required Disclosures
  - Prospectuses and Offering Documents
  - Risks, Fees, and Conflicts of Interest
- Communicating with Clients
  - Effective Communication Skills
  - Electronic Communications & Record-Keeping
Chapter 15: Processing Customer Transactions
- Order Types and Instructions
  - Market, Limit, and Stop Orders
  - Time-in-Force Instructions
- Trade Execution and Settlement
  - Trade Confirmation and Reporting
  - Settlement Procedures
- Errors and Discrepancies Solutions
Chapter 16: Anti-Money Laundering and Privacy Regulations
- Money Laundering Prevention
  - Bank Secrecy Act & USA PATRIOT Act
  - Suspicious Activity Reporting
- Customer Privacy and Data Protection
  - Regulation S-P Overview
  - Cybersecurity in Finance: Protect Customer Privacy
Chapter 17: Ethical Practices and Professional Conduct
- Fiduciary Responsibilities
- Prohibited Activities
- Compliance and Supervision
Chapter 18: Continuing Education and Professional Development
- Regulatory Element CE
- Firm Element Continuing Education
- Professional Designations
Appendices
- Key Terms and Definitions
- Formulas and Calculations Appendix
- Appendix C: Securities Laws Reference
Conclusion
- Final Thoughts: Encourage Success

Chapter 2: Regulatory Fundamentals and Self-Regulatory Organizations (SROs)

In this section

Understand SEC's Role and Impact: Key for Series 6 Exam
Explore the SEC's authority, responsibilities, and influence on the securities industry for the Series 6 Exam.
Unpack FINRA's Role in Regulation: Key Insights & Practices
Delve into FINRA's regulatory functions, its rule enforcement, and why broker-dealers must comply with its stringent measures.
Understanding the Role of State Securities Regulators and NASAA
Explore the function of state securities regulators and NASAA in executing and enforcing Blue Sky Laws in the U.S.
Understanding Other SROs: Market Integrity & Investor Protection
Explore other Self-Regulatory Organizations (SROs) like NYSE and NASDAQ, focusing on their roles in maintaining market integrity and investor protection.

Tuesday, October 1, 2024

Chapter 1: Overview of the Securities Industry

Chapter 3: Securities Act of 1933 and 1934