A representative posts a static profile page on a social media site that describes her services. For FINRA purposes, the page is:

A retail communication that requires principal approval before posting

An interactive forum that needs no supervision at all

An institutional communication because it is online

Correspondence that needs only post-use review, because social media posts reach people one at a time

A prospect told a representative last week, "Put me on your do-not-call list." What must the firm do?

Honor the request and add the person to the firm's own do-not-call list

Call once more to confirm the request in writing before adding the name to any list

Ignore the request if the person is an existing mutual fund shareholder

Honor the request only if the person is also on the national registry

A representative who invests in a private placement that the member firm is not involved in, receiving no compensation from the issuer, has:

A private securities transaction that still requires prior written notice to the firm

An exempt personal trade that needs no notice of any kind, because she receives no selling compensation

An outside business activity reported annually on Form U4 only

A transaction that must be approved by FINRA in advance

When must a customer receive the statutory prospectus for a mutual fund in a solicited sale?

No later than the delivery of the confirmation, and in practice at or before the solicitation

Only if the customer requests it within 90 days after the purchase

Within 30 days after the first dividend payment, together with the fund's annual report to shareholders

Only for purchases over the fund's first breakpoint

A representative is quoted in a newspaper interview about general market conditions. Under FINRA Rule 2210 this is:

A public appearance, subject to content standards but not to principal pre-approval of the remarks

A retail communication that must be filed with FINRA before publication

A prohibited activity unless the firm's CEO attends

Correspondence that must be retained for six years and pre-approved by a principal before the reporter publishes it

A fund sponsor wants to host a meeting at a hotel to train reps about its funds. Which condition must be met?

Attendance is approved by the member firm and not conditioned on sales of any product

The meeting must be held outside the United States

Reps who attend must sell at least one of the sponsor's funds within 30 days after the meeting

The sponsor must pay for the reps' spouses to attend as well

Under the customer identification program rules, what minimum information must a firm obtain from an individual U.S. customer before opening an account?

Name, date of birth, residential address and taxpayer identification number

Name, occupation, annual income and net worth only

Name, e-mail address, mobile phone number, mother's maiden name and a security question

Name, employer, driver's license photo and bank reference

A representative learns that the firm filed a SAR about a customer. What may he tell the customer?

Nothing about the SAR; disclosing its existence is prohibited

He may tell the customer only if the customer asks directly

He should tell the customer to close the account before FinCEN acts

He must tell the customer within 30 days so the customer can respond

Under FINRA Rule 4512, what must a firm make a reasonable effort to obtain when opening a non-institutional account?

The name and contact information of a trusted contact person age 18 or older

The customer's federal tax returns for the past three years and a current credit report

A written statement of the customer's religious and political views

A second government photo ID for each account owner

Verified against FINRA on 2026-09-23

Series 6 Exam Guide

The Series 6 (Investment Company and Variable Contracts Products Representative) exam is 50 scored questions in 1 hour 30 minutes with a passing score of 70; the FINRA fee is $100. It requires firm sponsorship and, like the Series 7, the SIE as a co-requisite.

Take the free Series 6 practice test See pricing

Updated 2026-09-23 · 3 sources · By the SeriesPrepKit team

Series 6 at a glance

Scored questions

+ 5 unscored pretest

Time

1 hr 30 min

Passing score

scaled score, not % correct

Exam fee

$100

verified 2026-09-23

Sponsorship

Required

Owner

FINRA

Who needs the Series 6

Who needs it: reps who will sell only packaged products: mutual funds, variable annuities, variable life insurance, unit investment trusts and 529 plans. It is common at insurance companies and banks where reps do not trade individual stocks or bonds.

The trade-off: the Series 6 is shorter and cheaper than the Series 7 but narrower. If there is any chance you will need to sell individual securities or options, compare Series 6 vs Series 7 before committing.

Official Series 6 content outline

Source: FINRA - Series 6 Content Outline. Weights as published; item counts are per exam form.
Section	Weight	Scored questions
F1: Seeks Business for the Broker-Dealer	24%	12
F2: Opens Accounts After Obtaining and Evaluating Customer Profile	16%	8
F3: Provides Information, Makes Suitable Recommendations, Transfers Assets	50%	25
F4: Obtains and Verifies Instructions; Processes Transactions	10%	5
Total	100%	50

How to register and schedule

Get sponsored by a FINRA member firm
The firm requests the exam through CRD (Form U4 or U10).
Pay the $100 fee
Usually covered by the firm; confirm the current amount on FINRA’s Series 6 page.
Schedule within 120 days
Prometric test center; online delivery requires an approved accommodation.
Sit the exam
55 questions total (50 scored + 5 unscored), 1 hour 30 minutes.
Add the state exam
Most states require the Series 63 as well.

Retake rules

Current FINRA rule: wait 30 days after a first or second failed attempt, and 180 days after three failures in a row. Coming change: FINRA filed SR-FINRA-2026-014 (June 29, 2026) to cut those waits to 15 days and 60 days; FINRA says the new periods take effect on a date it will announce in a future Regulatory Notice. As of 2026-09-23 we found no implementation notice, so plan on 30/180.

Where it fits in the licensing path

Typical sequence: SIE -> Series 6 -> Series 63. You can add the Series 7 later; your SIE remains valid for four years.

Try 10 free Series 6 questions

Series 6 practice questions

Under FINRA Rule 2210, a letter sent to 30 retail investors within a 30-calendar-day period is classified as:

Everything on the Series 6

Practice testFree original questions, scored by section Study guideEvery outline section, what to know Pass rate & passing scoreWhat is and is not published Registration & feeEnrollment, scheduling, retakes

Get the full Series 6 bank

Outline-weighted original questions with explanations, section drills and timed full-length exams. $79 one-time, 12 months, free access extension until you pass.

Get Series 6 access - $79

Frequently asked questions

How many questions are on the Series 6?

50 scored questions plus 5 unscored pretest items (55 total), per FINRA’s content outline.

What is the Series 6 passing score?

A scaled score of 70.

How much does the Series 6 cost?

The FINRA fee is $100 (verified 2026-09-23).

Is the Series 6 easier than the Series 7?

It is shorter (50 vs 125 scored questions) and narrower, but “easier” depends on you. In 2019 FINRA figures, the SIE + Series 6 pass-through rate was lower than SIE + Series 7; see our Series 6 pass rate page.

Do I need a sponsor for the Series 6?

Yes. The Series 6 is a representative-level FINRA exam and requires association with a member firm.

Sources

FINRA - Series 6 Investment Company and Variable Contracts Products Representative Exam (accessed 2026-09-23)
FINRA - Series 6 Content Outline (accessed 2026-09-23)
FINRA - Schedule an Exam (accessed 2026-09-23)