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

Series 6 Pass Rate and Passing Score

To pass the Series 6 you need scaled score of 70. FINRA does not currently publish pass rates; its last figures date from 2019.

Updated 2026-09-23 · 6 sources · By the SeriesPrepKit team

Passing score

scaled

Official pass rate

Not published

last FINRA data: 2019

Scored questions

Time

1 hr 30 min

What is officially published

FINRA does not publish Series 6 pass rates. The closest official data point is from 2019: FINRA shared “pass-through” rates for candidates who passed the SIE on their first try and then took the Series 6. For that group, 59% passed the Series 6 on the first attempt (Oct 2018 - Jan 2019 data), and 58% in data through March 31, 2019.

That is not the same thing as an overall Series 6 pass rate: it covers only first-time SIE passers, in the first months after the 2018 restructuring. FINRA has not updated it since. Other pass-rate figures that circulate online are prep-vendor estimates or unsourced; we do not repeat them.

How the passing score works

The Series 6 passing score is a scaled score of 70. FINRA places every candidate’s result on a common scale through equating, which adjusts for small differences in difficulty between exam forms. That means “70” is not “70% of questions right,” and FINRA does not publish the raw number of correct answers needed.

What makes it hard

Half the exam is Function 3: mutual fund pricing, variable annuity mechanics and suitability. Function 1 (communications, 24%) is unusually heavy compared with the Series 7.

Once our practice-test data is large enough, we will publish anonymized section-level miss rates here, labeled as our own data.

If you fail: 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.

Check your readiness: 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:

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.

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Frequently asked questions

What is the Series 6 pass rate?

There is no current official figure. FINRA’s last data (2019) showed a 58-59% first-attempt pass-through rate for candidates who had passed the SIE first.

What is the Series 6 passing score?

A scaled score of 70.

How hard is the Series 6?

Half the exam is Function 3: mutual fund pricing, variable annuity mechanics and suitability. Function 1 (communications, 24%) is unusually heavy compared with the Series 7.

How soon can I retake the Series 6?

30 days after a first or second failure; 180 days after a third consecutive failure under current rules. FINRA has filed to shorten these to 15 and 60 days on a date still to be announced.

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)
Knopman Marks - FINRA SIE and top-off exam statistics (Apr 2019, reporting FINRA data) (accessed 2026-09-23) - Third-party report of figures FINRA shared in 2019; dated.
Knopman Marks - FINRA 2019 Annual Conference exam statistics (May 2019) (accessed 2026-09-23) - Third-party report of figures FINRA shared in 2019; dated.
FINRA - Reduces Waiting Periods for Retaking Qualification Exams (SR-FINRA-2026-014) (accessed 2026-09-23)
FINRA - SIE Exam and Exam Restructuring FAQ (accessed 2026-09-23)