How to Study for the Series 6

Half of the Series 6 asks about giving customers information on investments, making recommendations and keeping records (50%). Seeking business comes next at 24%, opening accounts at 16% and processing transactions at 10%.

Start with the FINRA outline
- FINRA Series 6 Content Outline ↗
About the Series 6 exam
- All Series 6 practice exam details
Work through each section
24%16%50%10%
1. Seeks Business for the Broker-Dealer from Customers and Potential Customers24%
2. Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives16%
3. Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records50%
4. Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions10%
- Seeks Business for the Broker-Dealer from Customers and Potential Customers24%
  - Communications and Promotional Material
  - Describing Products to Prospects
- Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives16%
  - Account Types and Restrictions
  - Customer Information and Documents
  - Investment Profile
  - Supervisory Approval
- Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records50%
  - Strategies, Risks and Market Information
  - Recommendations and Product Standards
  - Required Disclosures
  - Account Information and Records
- Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions10%
  - Quotes, Orders and Execution
  - Settlement and Confirmation
Practice by topic
Mix topics in one practice set
- Series 6 practice questions with answers
Compare the Series 6 with other exams
- SIE vs Series 6
- Series 7 vs Series 6