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Updated: Jul 21, 2026
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FINRA Series6 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | Investment Company and Variable Contracts Products Representative Qualification Examination (IR) |
| Exam Number: | Series 6 |
| Exam Format: | Multiple-choice |
| Available Languages: | English |
| Related Certifications: | Securities Industry Essentials (SIE) Series 63 Series 66 Series 7 |
| Exam Duration: | 90 minutes |
| Certificate Validity Period: | Valid while associated with a FINRA member firm and completing continuing education |
| Real Exam Qty: | 55 (50 scored + 5 unscored pretest) |
| Exam Price: | $100 USD |
| Passing Score: | 70% |
| Recommended Training: | FINRA Official Content Outline |
| Exam Registration: | Prometric Scheduling FINRA Series 6 Registration |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at authorized Prometric test centers |
| Pre Condition: | Must be sponsored by a FINRA member firm; corequisite: pass the Securities Industry Essentials (SIE) exam |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account types and registration - Financial profile and investment objectives assessment - Customer identification and verification - Anti-money laundering (AML) and compliance |
| Topic 2: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Suitability rules and recommendations - Recordkeeping and disclosure requirements - Retirement plans and 529 savings plans - Product features, risks, costs, and tax considerations - Investment company products: mutual funds, UITs, closed-end funds - Variable contracts: variable annuities, variable life insurance |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Order entry and processing procedures - Payment and settlement processes - Error resolution and correction procedures - Trade confirmations and account statements |
| Topic 4: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Communications with the public and regulatory rules - Telemarketing and solicitation rules - Advertising and sales literature regulations - Prospecting and identifying customer needs |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. A long-term, unsecured bond issued by a corporation is called:
A) a general obligation bond.
B) an industrial revenue bond.
C) a debenture.
D) commercial paper.
2. Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers.
The market order was executed at $530 a share. In accordance with Regulation T:
A) Mr. Shortfall must pay for the purchased shares within 5 business days.
B) Mr. Shortfall must pay for the purchased shares within 3 business days.
C) GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to
pay for the shares within 5 business days.
D) Both B and C are true statements.
3. Which of the following must be true for a fund to be called a "no load" fund?
I. The fund can have no front-end load.
II. The fund can have no contingent deferred sales charge.
III. The fund can charge no 12b-1 fees.
IV. The fund cannot charge investors an exchange fee.
A) I, II, III, and IV must all be true.
B) I, II, and III must all be true.
C) Only I must be true.
D) Only I and II must be true.
4. As her college graduation present, Jennifer's grandmother gave her 200 shares of the stock of IBM. Her
grandmother had purchased the shares for $54 a share in October 2002, and the stock was selling for
$ 132 a share on the day of Jennifer's graduation eight years later. Eight months after her graduation,
Jennifer decides to sell the shares to get money to help with the down payment on a condo she is
purchasing. If IBM is selling for $125 on the day of the sale, what are the tax consequences of this sale for
Jennifer?
A) Jennifer will have taxable income of $14,200, which will be taxed as long-term capital gain income at a
tax-preferred rate.
B) Jennifer will have a loss of $1,400, which will be treated as a short-term capital loss for tax purposes.
C) Jennifer will have taxable income of $14,200, which will be taxed as long-term capital gain income at a
tax-preferred rate.
D) Jennifer will have taxable income of $15,600, which will be taxed as long-term capital gain income at a
tax-preferred rate.
5. Which of the following is not one of the rules stipulated by the Securities Exchange Act of 1934?
A) All securities' exchanges and SROs are required to register with the SEC.
B) Firms are required to send copies of their annual reports to investors before an annual meeting at
which directors are to be elected.
C) Investment companies are prohibited from using any sales literature that contains an omission of a
material fact.
D) All brokers and dealers are required to be members of a national securities association.
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |
FINRA Series6 Exam Overview:
| Certification Vendor: | FINRA |
| Exam Name: | Investment Company and Variable Contracts Products Representative Qualification Examination (IR) |
| Exam Number: | Series 6 |
| Exam Format: | Multiple-choice |
| Available Languages: | English |
| Related Certifications: | Securities Industry Essentials (SIE) Series 63 Series 66 Series 7 |
| Exam Duration: | 90 minutes |
| Certificate Validity Period: | Valid while associated with a FINRA member firm and completing continuing education |
| Real Exam Qty: | 55 (50 scored + 5 unscored pretest) |
| Exam Price: | $100 USD |
| Passing Score: | 70% |
| Recommended Training: | FINRA Official Content Outline |
| Exam Registration: | Prometric Scheduling FINRA Series 6 Registration |
| Sample Questions: | FINRA Series6 Sample Questions |
| Exam Way: | Computer-based testing at authorized Prometric test centers |
| Pre Condition: | Must be sponsored by a FINRA member firm; corequisite: pass the Securities Industry Essentials (SIE) exam |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account types and registration - Financial profile and investment objectives assessment - Customer identification and verification - Anti-money laundering (AML) and compliance |
| Topic 2: Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Suitability rules and recommendations - Recordkeeping and disclosure requirements - Retirement plans and 529 savings plans - Product features, risks, costs, and tax considerations - Investment company products: mutual funds, UITs, closed-end funds - Variable contracts: variable annuities, variable life insurance |
| Topic 3: Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Order entry and processing procedures - Payment and settlement processes - Error resolution and correction procedures - Trade confirmations and account statements |
| Topic 4: Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Communications with the public and regulatory rules - Telemarketing and solicitation rules - Advertising and sales literature regulations - Prospecting and identifying customer needs |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
1. A long-term, unsecured bond issued by a corporation is called:
A) a general obligation bond.
B) an industrial revenue bond.
C) a debenture.
D) commercial paper.
2. Mr. Shortfall placed a market order to buy 100 shares of Google (GOOG) with GetErDone Broker-Dealers.
The market order was executed at $530 a share. In accordance with Regulation T:
A) Mr. Shortfall must pay for the purchased shares within 5 business days.
B) Mr. Shortfall must pay for the purchased shares within 3 business days.
C) GetErDone can request an extension from FINRA or another SRO for Mr. Shortfall if he is unable to
pay for the shares within 5 business days.
D) Both B and C are true statements.
3. Which of the following must be true for a fund to be called a "no load" fund?
I. The fund can have no front-end load.
II. The fund can have no contingent deferred sales charge.
III. The fund can charge no 12b-1 fees.
IV. The fund cannot charge investors an exchange fee.
A) I, II, III, and IV must all be true.
B) I, II, and III must all be true.
C) Only I must be true.
D) Only I and II must be true.
4. As her college graduation present, Jennifer's grandmother gave her 200 shares of the stock of IBM. Her
grandmother had purchased the shares for $54 a share in October 2002, and the stock was selling for
$ 132 a share on the day of Jennifer's graduation eight years later. Eight months after her graduation,
Jennifer decides to sell the shares to get money to help with the down payment on a condo she is
purchasing. If IBM is selling for $125 on the day of the sale, what are the tax consequences of this sale for
Jennifer?
A) Jennifer will have taxable income of $14,200, which will be taxed as long-term capital gain income at a
tax-preferred rate.
B) Jennifer will have a loss of $1,400, which will be treated as a short-term capital loss for tax purposes.
C) Jennifer will have taxable income of $14,200, which will be taxed as long-term capital gain income at a
tax-preferred rate.
D) Jennifer will have taxable income of $15,600, which will be taxed as long-term capital gain income at a
tax-preferred rate.
5. Which of the following is not one of the rules stipulated by the Securities Exchange Act of 1934?
A) All securities' exchanges and SROs are required to register with the SEC.
B) Firms are required to send copies of their annual reports to investors before an annual meeting at
which directors are to be elected.
C) Investment companies are prohibited from using any sales literature that contains an omission of a
material fact.
D) All brokers and dealers are required to be members of a national securities association.
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |
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