Materiales de Estudio
Domina cada tema del examen, en lenguaje claro.
Investment Company and Variable Products
The Series 6 registration authorizes exactly two families of products: packaged investment company securities and variable insurance contracts. This chapter builds those products from the ground up, starting with how a mutual fund is priced and what an investor actually pays, then moving through share classes, variable annuities and variable life, unit investment trusts, closed-end funds, and 529 plans. Almost every calculation and comparison you will see on the exam lives here.
Securities Laws, FINRA Rules, and Prohibited Practices
Three federal statutes form the backbone of the securities regulatory system, and FINRA rules layer sales practice standards on top of them. This chapter covers registration and disclosure for new offerings, the framework governing broker-dealers and the trading markets, the special rules for investment companies, the sales practices that will get a representative barred, the categories and approval requirements for communications with the public, and the anti-money laundering obligations every firm must meet.
Customer Accounts, Retirement Plans, and Suitability
Opening an account correctly determines who owns the assets, who may give instructions, who pays the tax, and where the money goes when someone dies. This chapter covers the ownership forms you will see on the exam, the retirement plans a Series 6 representative most often funds, the information required to make a recommendation, and the mechanics of maintaining and transferring accounts.
Taxation, Risk, and Evaluating Customer Objectives
The last piece of the Series 6 puzzle is what the customer actually keeps after taxes and what can go wrong along the way. This chapter covers how fund distributions and share sales are taxed, how cost basis is tracked and adjusted, the special ordering rules for annuities, the basics of gift and estate treatment, and the categories of investment risk you must match to a customer's objectives and time horizon.
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