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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.
About the Exam
The FINRA® Series 6 (Revised) Exam
What Changed
Exam Restructuring
Next Steps
Get Started
We’ve outlined the steps you need to take to earn the Series 6 license. Follow the guidance to understand requirements, registration, and preparation.
