Securities SIE and Series 6 Exam Details

Outline of Topics Covered

• Knowledge of Capital Markets

• Understanding Products and Their Risks

• Understanding Trading, Customer Accounts, and Prohibited Activities

• Overview of Regulatory Framework

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.

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

• You must be at least 18 years of age and have a basic understanding of the industry to attend our live classes.

• Review the enrollment and prerequisite requirements on www.finra.org for the series exam you plan to take. Note, the Securities Industry Essentials (SIE) exam does not require employer sponsorship.

• Enroll in a Kaplan Financial Education securities licensing course four to six weeks before the class date by calling Kaplan Financial Education customer service at 877.656.5550 or enrolling online at www.kaplanfinancial.com/securities.

• Schedule an appointment for the licensing exam with Prometric Testing Centers at www.prometric.com/finra three to four weeks before the class begins. You are able to schedule two or more different exams on the same day. However, you must make a separate appointment for each of the exams.

• For optimum results, plan to do some pre/post-study. Also, plan for homework questions each night and two to three days of review before taking your licensing exam.

• Take your test within five days of completing the class, and go into the exam with confidence!

Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

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

Exam Restructuring

• 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

Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

Additional Information

For more exam details, including fees and passing score, please visit FINRA.