Wiley Series 6 Exam Review 2013 + Test Bank The Investment Company Products/Variable Contracts Limited Representative Examination |
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| Author:
| The Securities Institute of America, Inc., |
| Series title: | Wiley FINRA Ser. |
| ISBN: | 978-1-118-67108-5 |
| Publication Date: | Jul 2013 |
| Publisher: | John Wiley & Sons, Incorporated
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| Imprint: | Wiley |
| Book Format: | Paperback |
| List Price: | USD $90.00 |
Book Description:
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The Investment Company Products/Variable Contracts Limited Representative exam, or the Series 6, qualifies an individual who will function as a principal for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding...
More DescriptionThe Investment Company Products/Variable Contracts Limited Representative exam, or the Series 6, qualifies an individual who will function as a principal for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company. This qualification allows transactions on the following: Mutual funds (closed-end funds on the initial offering only); variable annuities; variable life insurance; unit investment trusts; municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs), Coverdell Education Savings Accounts). A Series 6 Registered Representative may conduct business in mutual funds and variable contracts. Each book is accompanied by an online test bank with 201 questions, organized by chapter. The questions included in the book have been included in this online test bank.
Topics Covered:
- Securities Markets, Investment Securities and Economic Factors
- Securities and Tax Regulation
- Marketing, Prospecting and Sales Presentation
- Evaluation of Customers
- Product Information; Investment Company Securities and Variable Contracts
- Opening and Servicing Customer Accounts
Test: 100 multiple-choice questions; Two hours and fifteen minutes to complete exam; Candidate must answer 70% of the questions correctly to pass.
There are no pre-requisites to take the Series 6 exam, but candidates must be sponsored by a FINRA member firm.