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Series 6 Exams & Quizzes
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Browse FINRA Series 6 – Investment Company and Variable Contracts Products Representative Exam
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
Purpose and Scope
Registration Process
Exempt Securities & Transactions
Securities Exchange Act of 1934
Regulatory Framework: Secondary Markets
Reporting Requirements
Prohibitions and Anti-Fraud Rules
Chapter 4: Investment Company Act of 1940 and Investment Advisers Act of 1940
Investment Company Act of 1940
Definition and Classification of Investment Companies
Regulatory Requirements
Shareholder Rights and Protections
Investment Advisers Act of 1940
Investment Adviser: Definition and Criteria
Fiduciary Duty and Ethical Obligations
Compliance and Record-Keeping
Chapter 5: Types of Securities and Investment Products
Equity Securities
Common Stock Insights
Preferred Stock
Rights and Warrants
Debt Securities
Corporate Bonds Explained
Government Securities
Municipal Securities
Investment Company Products
Mutual Funds Overview & Understanding
Exchange-Traded Funds (ETFs)
Unit Investment Trusts (UITs)
Closed-End Funds
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
529 Plans: Structure and Benefits
Qualified Expenses and Withdrawals
Changes in Beneficiary and Ownership
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
Insider Trading Guidelines
Market Manipulation Explained
Unethical Sales Practices
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
Home
Series 6 Exams & Quizzes
Chapter 3: Securities Act of 1933 and 1934
Chapter 3: Securities Act of 1933 and 1934
In this section
Securities Act of 1933
Understand the Securities Act of 1933: Purpose and Scope
Explore the objectives of the Securities Act of 1933 in regulating new securities issues, ensuring transparency, and preventing fraud in the primary market.
Master the Registration Process Under Securities Laws
Dive into the registration process for securities, focusing on SEC filings and the significance of full disclosure for compliance.
Mastering Exempt Securities & Transactions: A Guide
Learn about exempt securities and transactions under The Securities Act of 1933, including gov securities, bank securities, and private placements.
Securities Exchange Act of 1934
Comprehensive Guide to the Regulatory Framework for Secondary Markets
Explore the Securities Exchange Act of 1934's role in regulating broker-dealers, exchanges, and maintaining fair markets.
Master Reporting Requirements for Public Companies
Understand the reporting obligations for public companies, including 10-Ks and 10-Qs, and the significance of timely disclosures.
Navigate Securities Fraud Laws: Key Provisions Explained
Understand key anti-fraud securities provisions like Rule 10b-5, prohibiting insider trading and manipulative practices. Explore legal and ethical impacts.
Tuesday, October 1, 2024
Chapter 2: Regulatory Fundamentals and Self-Regulatory Organizations (SROs)
Chapter 4: Investment Company Act of 1940 and Investment Advisers Act of 1940