Series 6

Series 6 Exam
Investment Company and Variable Contracts Products Representative Exam

The Series 6 Exam (Series 6 Top-Off Exam) is the FINRA (Financial Industry Regulatory Authority) exam required by most broker-dealers for their registered representatives.  

  Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 63 or Series 66 Exam.

The Series 6 course covers: 

Stocks, Debt Securities, Investment Banking, Securities Markets, Taxes, Securities Analysis, Self Regulatory Organizations (SROs), Mutual Funds and Investment Companies, Annuities, Margin, Options, Money Market Instruments, Direct Participation Programs and Municipal Securities.

The Series 7 license exam has a total of 135 questions. However, only 125 of the questions count toward the Series 7 grade. The other 10 questions are experimental and could appear in any position within the Series 7 exam. To pass the Series 7 exam, each candidate must correctly answer at least 90 (72%) of the 125 questions. Each person has a total of 3 hours and 45 minutes to complete the Series 7 license exam.

Series 6 Course Textbook

Series 6 Course Textbook with chapter exams, final exams, and a glossary of Series 6 terms.


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About the book:

The Series 6 Top-Off Exam License Book was developed by Empire Stockbroker Training Institute. Because we understand your frustration, our Series 6 Top-Off Manual is written in plain English with shorter paragraphs and is focused on the FINRA Series 6 Exam content with no unnecessary fluff. Key features:

  • Updated for 2019
  • Comprehensive – The Series 6 Course Textbook is complete and easy to understand
  • Diagrams – These not only help make studying more enjoyable they also help you visualize difficult concepts
  • Notes and Tips – Key points mixed throughout the chapters to emphasize important ideas
  • Chapter Exams – Multiple-choice questions at the end of each chapter with detailed explanations
  • Final Exams – Five 50-question Series 6 practice exams with detailed explanations
  • Glossary – Each book includes a glossary of Series 6 Exam terms

All books were created by Steven M. Rice and Rueben Martinez

Series 6 Private Tutoring

FINRA Series 6 Course Outline