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Updated: Jul 29, 2026
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FINRA Series6 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | Investment Company and Variable Contracts Products Representative Examination (IR) - Series 6 |
| Exam Number: | Series 6 |
| Exam Format: | Multiple Choice |
| Real Exam Qty: | 55 (50 scored, 5 unscored) |
| Passing Score: | 70% |
| Related Certifications: | Series 6 Top-Off SIE (Securities Industry Essentials) |
| Certificate Validity Period: | No fixed expiration; valid while registration with FINRA member firm is maintained |
| Available Languages: | English |
| Exam Price: | USD 75 |
| Exam Duration: | 90 minutes |
| Recommended Training: | FINRA Qualification Exams Overview |
| Exam Registration: | FINRA Series 6 Exam Registration |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at authorized testing centers (Prometric) or remote proctored where available |
| Pre Condition: | Must be sponsored by a FINRA member firm; SIE is typically required or taken prior to or in conjunction with Series 6 registration |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Provides Customers with Information About Investments | 50% | - Investment company securities and variable contracts
|
| Topic 2: Obtains and Verifies Customers' Purchase and Sales Instructions | 10% | - Order processing and transaction procedures
|
| Topic 3: Seeks Business for the Broker-Dealer from Customers and Potential Customers | 24% | - Prospecting and communication with clients
|
| Topic 4: Opens Accounts After Obtaining and Evaluating Customer Financial Profile | 16% | - Customer account types and documentation
|
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. Under FINRA Rule 2830, a member firm and its associates are prohibited from selling shares of a mutual
fund if the service fees disclosed in the fund prospectus exceed:
A) 0.25% of the fund's average annual net assets.
B) 0.50% of the fund's average annual net assets.
C) 1.00% of the fund's average annual net assets.
D) 0.75% of the fund's average annual net assets.
2. Which of the following statements regarding the required distribution of income by a regulated investment
company are true?
A) Both short-term and long-term capital gains earned by the company can be distributed only once a
year.
B) If an investor in the investment company has elected to reinvest his dividend and capital income in the
company rather than receiving a check, then the investor is not required to pay taxes on the reinvested
funds.
C) Both A and B are true statements.
D) Under current tax laws, qualifying dividends distributed to the company's investors are taxable to those
investors at a preferential rate-i.e., either 0% or 15%, depending on the investor's marginal tax rate.
3. Your client bought a variable annuity contract that has a 5% contingent deferred sales charge with a
7 -year surrender period four years ago. He has been reading about bonus annuities and 1035 exchanges
and has asked for your advice. You can tell him:
A) that he'll have to pay the 5% deferred sales charge if he executes the exchange.
B) that although the exchange doesn't have any tax consequences, he'll be looking at a new, longer,
surrender period.
C) both B and C.
D) that it's a great idea, and you plan on how you're going to spend the unexpected income.
4. By investing in a diversified portfolio, an investor will:
A) eliminate all the market risk associated with his investment portfolio.
B) lower his risk and increase his expected return.
C) lower his risk without affecting his expected return.
D) lower both his risk and his expected return.
5. Which of the following securities is not exempt from registration requirements?
A) private-placement variable universal life insurance
B) a bond issued by the U.S. post office
C) a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
D) a revenue bond issued by the state of Florida to raise money to build an airport
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: C | Question # 5 Answer: C |
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