Series 6
The Series 6 Qualification Examination for the selling of Mutual Funds and Variable Annuities is administered by NASD (National Association of Securities Dealers) and the Financial Industry regulatory Association (FINRA)
To qualify to receive a license from the National Association of Securities Dealers (NASD) a candidate must successfully pass the series 6 test.
The series 6 test is designed for securities agents or brokers wishing to sell Variable Annuities and Mutual Funds. Broker agents with a Series 6 license are registered to deal only in specified set of securities, and cannot sell municipal securities, corporate securities, option products or direct participation programs.
Registered Series 7 representatives have fewer restrictions than series 6 registered representatives.
Exam Format and Content
The Series 6 test covers topics on investment policies, retirement plans, mutual funds, non-variable annuities and insurance products.
There are 100 questions in multiple-choice format. Candidates have 135 minutes (2 hours 15 minutes) to complete the test. To successfully pass the series 6 test, candidates must score at least 70%, that is, they must answer at least 70 questions out of 100 correctly. Successful candidates receive the license and permission needed to sell variable annuities and mutual funds.
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