Prepare with FINRA Series6 exam practice material, pass for sure
Updated: Aug 04, 2026
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FINRA Series6 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | Investment Company and Variable Contracts Products Representative Qualification Examination (IR) |
| Exam Number: | Series 6 |
| Available Languages: | English |
| Real Exam Qty: | 55 (50 scored + 5 unscored pretest) |
| Exam Duration: | 90 minutes |
| Certificate Validity Period: | Valid while associated with a FINRA member firm and completing continuing education |
| Exam Price: | $100 USD |
| Related Certifications: | Securities Industry Essentials (SIE) Series 63 Series 66 Series 7 |
| Exam Format: | Multiple-choice |
| Passing Score: | 70% |
| Recommended Training: | FINRA Official Content Outline |
| Exam Registration: | FINRA Series 6 Registration Prometric Scheduling |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at authorized Prometric test centers |
| Pre Condition: | Must be sponsored by a FINRA member firm; corequisite: pass the Securities Industry Essentials (SIE) exam |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Prospecting and identifying customer needs - Advertising and sales literature regulations - Communications with the public and regulatory rules - Telemarketing and solicitation rules |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Payment and settlement processes - Trade confirmations and account statements - Order entry and processing procedures - Error resolution and correction procedures |
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account types and registration - Customer identification and verification - Financial profile and investment objectives assessment - Anti-money laundering (AML) and compliance |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Suitability rules and recommendations - Investment company products: mutual funds, UITs, closed-end funds - Product features, risks, costs, and tax considerations - Retirement plans and 529 savings plans - Recordkeeping and disclosure requirements - Variable contracts: variable annuities, variable life insurance |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. Tex Payor purchased 1,000 shares of Stocks4U, a mutual fund with a 5% front-end load, on February
2 6th.The fund's net asset value on that date was $30.40 and its offer price was $32.Tex sold his shares
on March 15th of the following year for $45 a share. What were the tax consequences for Tex?
A) Tex must pay taxes on $14,600, which will be taxed as ordinary income at Tex's marginal tax rate.
B) Tex must pay taxes on $14,600, which will be taxed at a preferential long-term capital gain rate under
current tax law.
C) Tex must pay taxes on $13,000, which will be taxed at a preferential long-term capital gain rate under
current tax law.
D) Tex must pay taxes on $45,000, which will be taxed at a preferential long-term capital gain rate under
current tax law.
2. Which of the following would not have to register as an investment adviser or an investment adviser
representative under the Investment Advisers Act of 1940?
I. an insurance agent who sells only whole life and term life policies
II. a commodity futures broker
III. a bank employee who sells the bank's customers only CDs and other bank securities that are
FDIC-insured
IV. a person that is registered as a broker-dealer with the SEC that also provides investment advice to its
customers for additional compensation
A) II and III only
B) I, II, III, and IV
C) I and III only
D) I, II, and III only
3. Which of the following would offer an investor the most protection against purchasing power risk?
A) a high-yield bond fund
B) a money market fund
C) a government bond fund
D) a stock mutual fund
4. Which of the following actions will result in a taxable event for Tex Payor, an investor in the Invest4U
Mutual Fund?
I. Tex sells some of his shares of the fund at a profit.
II. Tex exchanges some of his shares in Invest4U for shares of another fund in the same family of funds.
III. Tex opts to reinvest any dividend or capital gain income he might have received in the fund to buy
additional shares of the fund in lieu of receiving a check from the fund.
A) I only
B) I, II, and III
C) I and III only
D) I and II only
5. On Monday, August 2nd, the Board of Directors of Baldor Electric (BEZ) announced that the firm would
pay a dividend of $0.17 a share. Payment will be made on Friday, October 8th to shareholders of record
as of Friday, September 17th.In order to receive this dividend check, an investor would have to purchase
shares of Baldor Electric before which day?
A) Friday, September 17th.
B) Wednesday, September 15th.
C) Friday, October 8th.
D) Monday, August 2nd.
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: B | Question # 5 Answer: B |
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