How to Use This Course
Key Takeaways
The course follows the FINRA outline across six chapters from regulation to processing transactions.
Series 6 goes deeper than the SIE on products, suitability, and sales practices.
Function 3 is 50% of the exam, so product knowledge and recommendations matter most.
Share classes, annuity phases, and suitability scenarios are core test areas.
Use the chapter flow to build from rules to product details and recommendations.
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
- Review SIE concepts — The Series 6 assumes you know the basics
- Focus on Function 3 — It's 50% of the exam (product knowledge + recommendations)
- Understand share classes — Class A, B, and C shares are heavily tested
- Know variable annuity phases — Accumulation vs. annuity period
- Practice suitability scenarios — Most questions are application-based
Ready to start? Let's dive into Chapter 1!
What corequisite exam must be passed for Series 6 registration?
Series 7
Series 63
SIE (Securities Industry Essentials)
Series 65
Why are share classes, annuity phases, and suitability scenarios emphasized in Series 6 study?
They are the newest topics added to the exam
They represent core tested areas and make up much of Function 3 (50%)
They are the easiest topics on the exam
They are only tested on the Series 7
Sections you finish are checked off in the contents.