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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 5: Types of Securities and Investment Products
Chapter 5: Types of Securities and Investment Products
In this section
Equity Securities
Understanding Common Stock: Ownership, Voting, and Growth Potential
Delve into common stock features, including rights, voting, and growth prospects. Boost Series 6 exam success with practical insights on equity securities.
Understanding Preferred Stock: Features, Types, and Benefits
Learn about preferred stock features, fixed dividends, priority over common stock, and variations like cumulative and convertible preferred.
Understanding Rights and Warrants in Corporate Financing
Explore the role of stock rights and warrants in corporate financing and their benefits for investors. In-depth analysis and real-world examples.
Debt Securities
Understanding Corporate Bonds: Key Insights for Mastery
Explore corporate bonds, their features, and types, enhancing your competency for the FINRA Series 6 exam.
Understanding Government Securities: A Key Investment Tool
Explore U.S. Treasury securities like bills, notes, and bonds, their risk-free nature, and their vital role in investment portfolios.
Master Municipal Securities for the Series 6 Exam
Explore municipal bonds, tax advantages, and investor suitability in-depth. Perfect preparation for FINRA Series 6 exam.
Investment Company Products
Comprehensive Guide to Mutual Funds: Structure, Classes & Fees
Explore mutual funds: structure, share classes, fees & investment objectives in Chapter 5 of Investment Company Products.
Understand ETFs: Flexibility, Cost Efficiency, Tax Implications
Explore ETFs' flexibility, cost-efficiency, and tax implications to master their role in investment strategies.
Understanding Unit Investment Trusts: Fixed Portfolios Explained
Comprehensive guide on Unit Investment Trusts; explore their fixed portfolios, passive management, and stable income potential.
Understanding Closed-End Funds: Trading Mechanics & Leverage
Learn how closed-end funds operate, trade on exchanges, and use leverage, with a focus on price fluctuations relative to NAV.
Variable Contracts and Insurance Products
Understanding Variable Annuities: Structure, Phases, and More
Dive into the nuances of variable annuities including structure, investment options, phases, fees, and suitability, to excel in financial exams.
Master Variable Life Insurance: Coverage and Investment Insight
Explore variable life insurance policies: death benefits, cash value growth, investment options, and policy loans for Series 6 exam readiness.
Alternative Investment Products
Understanding REITs: An Overview of Real Estate Investment Trusts
Explore REITs, their real estate asset investments, income generation, tax treatment, and associated risks in alternative investment products.
Mastering Hedge Funds & Private Equity for Series 6
Explore hedge funds and private equity funds, their roles, strategies, and regulations to excel in your Series 6 exam and investment career.
Tuesday, October 1, 2024
Chapter 4: Investment Company Act of 1940 and Investment Advisers Act of 1940
Chapter 6: Municipal Fund Securities and Education Savings Plans