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The Series 6 exam (Investment Company and Variable Contracts Products Representative Qualification Examination (IR)) tests your competency as an entry-level representative in an investment company and a representative of variable contract products. The FINRA exam tests your knowledge of critical functions of an investment company and variable contract products such as mutual funds sales and variable annuities in these topics: Seeks Business for the Broker-dealer from Customers and Potential Customers; Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives; Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records; Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions. You must pass the Securities Industry Essentials (SIE) exam and the Series 6 exam to obtain registration.
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