Exam Topics
Deep dives on the highest-weight Series 6 exam topics: mutual fund mechanics, variable annuities, share classes, suitability, communications, and retirement plans.
Series 6 Communications with the Public: Rule 2210 Explained
FINRA Rule 2210 on the Series 6: retail, correspondence, and institutional communications, principal approval, 10-day filing, and exam-focused content standards.
Series 6 Retirement Plans: 529s, IRAs, and Qualified Plans
529 plans, IRAs, and qualified plans on the Series 6: how the packaged-products license tests retirement vehicles, contribution rules, and rollover suitability.
Series 6 Mutual Fund Share Classes: A, B, C, and Breakpoints
Series 6 mutual fund share classes explained: Class A front-end loads, Class B CDSCs, Class C level loads, breakpoints, LOIs, ROA, and suitability rules.
Series 6 Suitability: Rule 2111, Reg BI, and Client Profiles
Series 6 suitability: FINRA Rule 2111, Reg BI, the three suitability obligations, client profile factors, and how variable annuity sales are supervised.
Variable Annuities on the Series 6: Subaccounts, Riders, Suitability
Variable annuity mechanics on the Series 6: subaccounts, M&E fees, surrender charges, living-benefit riders (GLWB, GMIB, GMWB), and exam-style suitability rules.
Series 6 Mutual Funds: Mechanics, Pricing, and Exam Focus
Mutual fund mechanics for the Series 6: NAV calculation, POP, forward pricing, share classes, 12b-1 fees, prospectus delivery, and what gets tested.