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The series 6 test — the Investment agency and change Contracts assets Representative Qualification check (IR) — assesses the competency of one entry-level representative to execute their task as one investment company and variable contracts commodities representative.

The exam measures the degree to which every candidate own the expertise needed to carry out the vital functions of one investment agency and variable contract commodities representative, consisting of sales of mutual funds and also variable annuities.

Candidates must pass the Securities industry Essentials (SIE) exam and the series 6 exam to achieve the Investment firm and change Contracts assets registration. For much more information about the SIE and series 6 exams, describe dominance 1210 and also rule 1220(b)(7).

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Content Outline

The series 6 contents Outline offers a an extensive guide come the variety of topics covered on the exam, as well as the depth of expertise required. The outline is comprised of the four major job attributes of an investment agency and change contracts assets representative. The table listed below lists the allocation of exam items because that each major job function.

Major job FunctionsNumber of exam Items
(F1) Seeks service for the Broker-dealer native Customers and Potential Customers12
(F2 opens up Accounts ~ Obtaining and examining Customers’ gaue won Profile and also Investment Objectives8
(F3) provides Customers v Information about Investments, renders Recommendations, transfers Assets and also Maintains appropriate Records25
(F4) Obtains and also Verifies Customers’ Purchase and also Sales Instructions; Processes, Completes and Confirms Transactions5

Download series 6 content Outline


Candidates must be associated with and sponsored by a member firm or other applicable self-regulatory company (SRO) member certain to it is in eligible to take it representative-level qualification exams. For much more information ~ above registration demands refer come ascendancy 1210.

The SIE test is a corequisite to the series 6 exam. Candidates must pass both the series 6 exam and the SIE test to obtain the Investment company and change Contracts assets registration.

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For much more information top top the registration process, view Register a new Candidate.

Permitted Activities

A candidate who passes the series 6 exam is qualified for the solicitation, acquisition and/or revenue of the adhering to securities products:

Mutual accumulation (closed-end accumulation on the initial supplying only)Variable annuitiesVariable life insuranceUnit investment trusts (UITs)Municipal fund securities