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Time Limit
Passing score required to pass
Multiple-choice questions
Knowledge of Capital Markets
Understanding Products and Their Risks
Understanding Trading, Customer Accounts, and Prohibited Activities
Overview of Regulatory Framework
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.
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!
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
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
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We’ve outlined the steps you need to take to earn the Series 6 license. Follow the guidance to understand requirements, registration, and preparation.Learn more about the Securities Industry Essentials (SIE) exam and its effect on the Securities Licensing process by reviewing the most popular questions and answers we've found.
