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Updated: Jul 22, 2026
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| Certification Vendor: | FINRA |
| Exam Name: | Investment Company and Variable Contracts Products Representative Examination (IR) - Series 6 |
| Exam Number: | Series 6 |
| Certificate Validity Period: | No fixed expiration; valid while registration with FINRA member firm is maintained |
| Related Certifications: | Series 6 Top-Off SIE (Securities Industry Essentials) |
| Exam Format: | Multiple Choice |
| Exam Price: | USD 75 |
| Available Languages: | English |
| Real Exam Qty: | 55 (50 scored, 5 unscored) |
| Exam Duration: | 90 minutes |
| Passing Score: | 70% |
| Recommended Training: | FINRA Qualification Exams Overview |
| Exam Registration: | FINRA Series 6 Exam Registration |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at authorized testing centers (Prometric) or remote proctored where available |
| Pre Condition: | Must be sponsored by a FINRA member firm; SIE is typically required or taken prior to or in conjunction with Series 6 registration |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
| Section | Weight | Objectives |
|---|---|---|
| Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
1. After passing the Series 6 and becoming a registered representative, you will be able to execute
transactions in which of the following securities?
I. corporate stocks
II. mutual funds
III. corporate bonds
IV. variable contracts
A) II and III only
B) I, II, III, and IV
C) II and IV only
D) I, II, and IV only
2. A long-term, unsecured bond issued by a corporation is called:
A) a debenture.
B) commercial paper.
C) an industrial revenue bond.
D) a general obligation bond.
3. Which of the following securities is not exempt from registration requirements?
A) private-placement variable universal life insurance
B) a bond issued by the U.S. post office
C) a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
D) a revenue bond issued by the state of Florida to raise money to build an airport
4. Upon receiving a complaint about one of its member firms, FINRA may:
I. require any person associated with the member firm to provide information to FINRA and to testify under
oath.
II. inspect and copy the books, records and accounts of the member firm.
III. share information obtained from its investigation of a member firm with a foreign regulatory agency.
A) II and III only
B) I and II only
C) II only
D) I, II, and III
5. A bond has a face value of $1,000, matures in 12 years, and pays an 4% coupon, with interest paid
semiannually. If the bond is priced to yield 3.5%, it is selling:
A) at its maturity value.
B) at par.
C) at a discount.
D) at a premium.
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: D |
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