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 4: Investment Company Act of 1940 and Investment Advisers Act of 1940

In this section

Investment Company Act of 1940
- Comprehensive Guide to Understanding Investment Companies
  Learn about the definition and classification of investment companies under the Investment Company Act of 1940, including management companies, UITs, and face-amount certificate companies.
- Master the Regulatory Requirements for FINRA Series 6 Success
  Explore essential regulatory requirements under the Investment Company Act of 1940 to excel in the FINRA Series 6 exam.
- Master Shareholder Rights & Protections: The 1940 Act Guide
  Understand key shareholder protections under the Investment Company Act of 1940, including board requirements and proxy voting, to excel in exams.
Investment Advisers Act of 1940
- Understanding and Defining Investment Adviser Criteria
  Explore the definition and registration criteria for investment advisers under the 1940 Act, including exclusions and exemptions.
- Master Fiduciary Duty & Ethical Obligations in Finance
  Learn fiduciary duties and ethical obligations for investment advisers under the Investment Advisers Act of 1940.
- Master Compliance & Record-Keeping: Your Path to Series 6 Success
  Learn compliance obligations, records maintenance, disclosure delivery, and ad rules essential for FINRA Series 6 exam with real-world insights.

Tuesday, October 1, 2024

Chapter 3: Securities Act of 1933 and 1934

Chapter 5: Types of Securities and Investment Products

Browse FINRA Series 6 – Investment Company and Variable Contracts Products Representative Exam

Chapter 4: Investment Company Act of 1940 and Investment Advisers Act of 1940

In this section