Download FINRA : Series6 Questions & Answers as PDF & Test Software
Updated: Oct 18, 2026
No. of Questions: 325 Questions & Answers with Testing Engine
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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 |
| 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 Format: | Multiple-choice |
| Related Certifications: | Series 63 Securities Industry Essentials (SIE) Series 7 Series 66 |
| Exam Duration: | 90 minutes |
| Exam Price: | $100 USD |
| Passing Score: | 70% |
| Available Languages: | English |
| Recommended Training: | FINRA Official Content Outline |
| Exam Registration: | FINRA Series 6 Registration Prometric Scheduling |
| 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 |
|---|---|---|
| Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 16% | - Account types and registration - Anti-money laundering (AML) and compliance - Financial profile and investment objectives assessment - Customer identification and verification |
| Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 50% | - Recordkeeping and disclosure requirements - Investment company products: mutual funds, UITs, closed-end funds - Product features, risks, costs, and tax considerations - Retirement plans and 529 savings plans - Suitability rules and recommendations - Variable contracts: variable annuities, variable life insurance |
| Seeks Business for the Broker-dealer from Customers and Potential Customers | 24% | - Advertising and sales literature regulations - Prospecting and identifying customer needs - Telemarketing and solicitation rules - Communications with the public and regulatory rules |
| Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 10% | - Payment and settlement processes - Error resolution and correction procedures - Order entry and processing procedures - Trade confirmations and account statements |
FINRA Investment Company and Variable Contracts Products Representative Examination (IR) Sample Questions:
Which of the following securities laws regulates the organizational structure and day-to-day operations of
investment companies?
- A. The Investment Company Act of 1940
- B. The Investment Advisers Act of 1940
- C. The Securities Act of 1933
- D. The Securities Exchange Act of 1934
Correct Answer: A 🗳️
Explanation: Only visible for TestSimulate members. You can sign-up / login (it's free).
NASDAQ market makers provide investors with assurance that:
- A. there is a market for the listed security.
- B. the investor will be investing in a high quality investment with relatively low risk.
- C. NASDAQ market makers provide investors with no assurance whatsoever. It is "buyer beware."
- D. the investor will be able to buy or sell the security at a price he desires.
Correct Answer: A 🗳️
Explanation: Only visible for TestSimulate members. You can sign-up / login (it's free).
NewWave Investments, a family of mutual funds, hires the star of a new motion picture about the
workings of Wall Street to provide a testimonial as part of NewWave's new television ad campaign. The
actor's financial adviser has, in fact, invested some of the actor's monies in NewWave's funds. NewWave
provides the actor with a script in which the actor explains the concept of dollar cost averaging to the
viewers. At the conclusion of the actor's explanation, the viewers are informed that the actor has been
paid for his testimonial, that his experience may not be representative of that of other clients, and that past
performance is no guarantee of future performance. Based on these facts:
- A. NewWave has violated a FINRA rule that prohibits testimonials of public figures from being used in
advertisements. - B. NewWave has violated a FINRA rule requiring that any testimonial that contains a technical aspect
related to investing must be given by someone who has both the knowledge and experience to hold a
valid opinion on the topic. - C. NewWave has violated a FINRA rule stipulating that testimonial providers can receive no payment for
their testimonies. - D. NewWave has violated no rules; it has complied with all of FINRA's disclosure requirements.
Correct Answer: B 🗳️
Explanation: Only visible for TestSimulate members. You can sign-up / login (it's free).
Which of the following securities is not exempt from registration requirements?
- A. private-placement variable universal life insurance
- B. a revenue bond issued by the state of Florida to raise money to build an airport
- C. a bond issued by the U.S. post office
- D. a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
Correct Answer: D 🗳️
Explanation: Only visible for TestSimulate members. You can sign-up / login (it's free).
After passing the Series 6 and becoming a registered representative, you will be able to execute
transactions in which of the following securities?
I. corporate stocks
II. mutual funds
III. corporate bonds
IV. variable contracts
- A. I, II, and IV only
- B. II and III only
- C. I, II, III, and IV
- D. II and IV only
Correct Answer: D 🗳️
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