The Series 6 Exam (Series 6 Top-Off Exam) is the FINRA (Financial Industry Regulatory Authority) exam required by broker-dealers, banks, and insurance companies for their limited representatives.
Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 63 state licensing exam.
Series 6 candidates are expected to know information about:
- seeking business for the broker-dealer from customers and potential customers (12 questions on the exam)
- opening accounts after obtaining and evaluating customers’ investment objectives and financial profile (8 questions on the exam)
- providing customers with information about investments, making suitable recommendations, transferring assets and maintaining appropriate records (25 questions on the exam)
- obtaining and verifying customers’ purchase and sales instructions; processing, completing and confirming transactions (5 questions on the exam)
The Series 6 license exam has a total of 55 questions. However, only 50 of the questions count toward the Series 6 grade. So, this means is that the other 5 questions are experimental and could appear in any position within the Series 6 exam. To pass the exam, each candidate must correctly answer at least 35 (70%) of the 50 questions. In addition, each person has a total of 1 hours and 30 minutes to complete the real exam.
Series 6 Course Textbook (2023)
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. Our book is written with shorter paragraphs and is focused on the FINRA license content with no unnecessary fluff. Key features:
- Updated for 2023
- 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 practice exams with detailed explanations
- Glossary – Each book includes a glossary of Series 6 Exam terms
Series 6 Sample Pages:
All books were created by Steven M. Rice and Rueben Martinez