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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

Investment Advisers Act of 1940

In this section

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

Investment Company Act of 1940