Download editable .docxFill in the blanks after printing, or edit the .docx in Word / Google Docs. Series 6 Outline Checklist
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Official outline: FINRA - Series 6 Content Outline. 50 scored questions, 1 hr 30 min, pass: 70 (scaled).
[ ] F1: Seeks Business for the Broker-Dealer (24%, 12 questions)
- [ ] Communications with the public (Rule 2210), investment company sales literature and fund-ranking rules.
- [ ] Variable contract advertising, seminars and required disclosures.
- [ ] Prospectus delivery basics for investment companies.
Trap: Underestimating this section: at 24% it is a much larger share of the Series 6 than communications are on the Series 7.
[ ] F2: Opens Accounts After Obtaining and Evaluating Customer Profile (16%, 8 questions)
- [ ] Account registrations and new-account requirements; CIP and KYC.
- [ ] Retirement plans and 529 plans at the level of product recommendations.
- [ ] Suitability and Reg BI profile factors.
Trap: Confusing a rollover (funds pass through your hands, 60-day limit) with a direct transfer.
[ ] F3: Provides Information, Makes Suitable Recommendations, Transfers Assets (50%, 25 questions)
- [ ] Mutual fund structure, NAV, forward pricing, share classes, sales charges, breakpoints, LOI and ROA.
- [ ] Variable annuities: separate account, accumulation and annuity units, assumed interest rate, surrender charges, 1035 exchanges.
- [ ] UITs, ETFs, closed-end funds and municipal fund securities (529s).
- [ ] Tax treatment of fund distributions and annuity payouts.
Trap: Recommending a purchase just below a breakpoint; that is a classic breakpoint-sales violation.
[ ] F4: Obtains and Verifies Instructions; Processes Transactions (10%, 5 questions)
- [ ] Processing purchases, redemptions and exchanges; redemption price vs. offering price.
- [ ] Confirmations, statements and settlement.
Trap: Forgetting that fund orders are filled at the next computed NAV (forward pricing), not the last one.
Checked against the official outline on 2026-09-23. FINRA and NASAA do not endorse SeriesPrepKit.