The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an investment company and variable contract products representative, including sales of mutual funds and variable annuities.
Content Outline
The Series 6 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four major job functions of an investment company and the representative of variable contracts and products. The table below lists the allocation of exam items for each major job function.
| Major Job Functions | Number of Exam Items |
|---|---|
| (F1) Seeks Business for the Broker-dealer from Customers and Potential Customers | 12 |
| (F2 Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives | 8 |
| (F3) Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records | 25 |
| (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions | 5 |
| TOTAL | 50 |
Knowledge of:
Standards and required approvals of public communications
Types of communications (e.g., retail, institutional, correspondence)
Seminars, lectures, and other group forum requirements
Product-specific advertisements and disclosures
Investment company products and variable contracts
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