Series 6

From Wikipedia, the free encyclopedia

The Series 6 is a multiple choice exam that registers an individual to transact a limited set of securities. A Series 6 registered individual cannot transact in corporate securities, direct participation programs, municipal securities, or option products. This exam is administered by the National Association of Securities Dealers (NASD). In order to take the exam an individual must be sponsored by a firm who is a member of the NASD or is a Self Regulatory Organization (SRO).

The topic breakdown of the exam is as follows:

  1. Investment Companies, Taxation, and Consumer Accounts 36%
  2. Securities Industry Regulations 25%
  3. Securities Markets; Investment Risks and Policies 23%
  4. Variable Contracts and Retirement Plans 16%

The time limit for the exam is 2 hours and 15 minutes to complete 100 questions. 70% is considered passing.

National Association of Securities Dealers (http://www.nasdr.com)

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