Exam Breakdown:

The exam is divided into four major sections:
  1. Seeks Business for the Broker-Dealer from Customers and Potential Customers (24%)
  2. Open Accounts After Obtaining and Evaluating series 6 dump sheet  Customers’ Financial Profile and Investment Objectives (20%)
  3. Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets, and Maintains Appropriate Records (44%)
  4. Obtains and Verifies Customer’s Purchase and Sales Instructions and Completes Transactions (12%)

Key Concepts Covered in the Series 6 Exam

To help you study effectively, here are some of the key topics covered in the Series 6 Dump Sheet:

Securities and Investment Products

Mutual Funds: Open-end investment companies with diversified portfolios. Variable Annuities: Insurance products offering investment choices. UITs (Unit Investment Trusts): Fixed portfolios of securities. Closed-End Funds: Traded on exchanges, have a fixed number of shares.


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