Series 6 and 63 Exam Details
Series 6 Exam Details
The FINRA® revised Series 6, Investment Company and Variable Contracts Products Representative Qualification "Top-off" Exam is required of individuals soliciting the purchase or sale of redeemable securities (mutual funds), variable contracts (variable annuities) and insurance premium funding programs (variable life) issued by insurance companies.
On October 1, 2018, FINRA restructured the Series 6 exam. New candidates are required to pass the Securities Industry Essential (SIE) exam along with a Series 6 exam to obtain the Investment Company and Variable Contracts Products registration. Kaplan has study materials available for the SIE exam as well as the Series 6 exam.
50 multiple-choice questions
1 hours, 30 minutes
Outline of Topics Covered
- Seeks business for the broker-dealer from customers and potential customers
- Opens accounts after obtaining and evaluating customers’ financial profile and investment objectives
- Provides customers with information about investments, makes suitable recommendations, transfers assets, and maintains appropriate records
- Obtains and verifies customers’ purchase and sales instructions; processes, completes, and confirms transactions
Series 63 Exam Details
The NASAA Series 63, Uniform Securities State Law Exam is required of individuals soliciting the purchase or sale of securities within a state. The exam may be required in addition to other exams.
60 Multiple-choice questions
1 hour, 15 minutes
Outline of Topics Covered
- State Securities Acts and related rules and regulations
- Ethical practices and fiduciary obligations
Best Practices Guide
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
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