Colorado College Bulletin
Attention Colorado Students
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS).
Time Limit
Multiple-choice questions
Passing score required to pass
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
On October 1, 2018, FINRA restructured the Series 6 exam
Candidates must pass the Securities Industry Essentials® (SIE®) exam and the Series 6 to obtain registration
Kaplan offers Series 6 study materials for both the SIE exam and the Series 6 exam
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
For more exam details, including fees and passing score, please visit FINRA.
Multiple-choice questions
Passing score required to pass
Time Limit
State Securities Acts and related rules and regulations
Ethical practices and fiduciary obligations
For more exam details, including fees and passing score, please visit FINRA.
Colorado College Bulletin
Attention Colorado Students
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS).
Free Resources
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.
Next Steps
Get Started with Series 6 and 63
We’ve outlined the steps you need to take to earn the Series 6 and 63 licenses. Follow the guidance to understand requirements, registration, and preparation.Not Finding What You're Looking For?
