How to Use This Course

Welcome to OpenExamPrep's free Series 6 study guide! This course is designed for candidates who have already passed the SIE exam.

Course Structure

This course follows the FINRA content outline:

• Chapter 1: Regulatory Fundamentals — FINRA rules, communications, and ethical standards
• Chapter 2: Investment Company Products — Mutual funds, UITs, and ETFs
• Chapter 3: Variable Contracts — Variable annuities and variable life insurance
• Chapter 4: Customer Accounts — Account types, CIP, KYC, and documentation
• Chapter 5: Suitability & Recommendations — Making suitable recommendations
• Chapter 6: Processing Transactions — Order processing, confirmations, and recordkeeping

What's Different from the SIE?

The Series 6 builds on SIE knowledge but goes deeper into:

• Product details — Share classes, expense ratios, payout options
• Suitability analysis — Matching products to customer needs
• Sales practices — What you can and can't do as a registered rep
• Practical scenarios — Application-based questions, not just definitions

Study Tips

1. Review SIE concepts — The Series 6 assumes you know the basics
2. Focus on Function 3 — It's 50% of the exam (product knowledge + recommendations)
3. Understand share classes — Class A, B, and C shares are heavily tested
4. Know variable annuity phases — Accumulation vs. annuity period
5. Practice suitability scenarios — Most questions are application-based

Ready to start? Let's dive into Chapter 1!