What is the Series 6 Exam?
The Series 6 exam is administered by the Financial Industry Regulatory Authority (FINRA) and is required for individuals who want to sell mutual funds, variable annuities, and other investment company products. It consists of 50 multiple-choice questions that must be completed within 90 minutes. A passing score of 70% is required to obtain the Series 6 license.
Importance of a Series 6 Dump Sheet
A Series 6 dump sheet is a condensed version of all the essential topics, formulas, and concepts that you need to know for the exam. It acts as a quick reference guide, saving you time and effort while studying. With our 2024 updated Series 6 dump sheet, you can focus on high-yield topics and ensure that you’re well-prepared.
Key Topics Covered in the 2024 Series 6 Dump Sheet
Securities and Regulations
FINRA rules and compliance regulations, Securities Act of 1933 and 1934, Investment Company Act of 1940, Regulation Best Interest (Reg BI), and Anti-Money Laundering (AML) rules.
Types of Investment Companies
Mutual funds (open-end funds), closed-end funds, Unit Investment Trusts (UITs), and Exchange-Traded Funds (ETFs).
Mutual Fund Structure and Features
Net Asset Value (NAV) calculation, expense ratios and series 6 dump sheet loads (front-end, back-end, level), share classes (A, B, C), breakpoints and Rights of Accumulation, and 12b-1 fees.
Variable Contracts
Variable annuities and their tax treatment, fixed vs. variable annuities, separate accounts vs. general accounts, riders, and death benefits.
Securities Market and Economic Factors
Primary vs. secondary market, market orders, limit orders, stop orders, business cycle and economic indicators, interest rates, and inflation impact.
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