Series 6: Series 6 Frequently Asked Questions

Taken from our Series 6 Top-off Online Guide

Series 6 Frequently Asked Questions

How do I register to take the Series 6?

To take the Series 6, you must already have passed the Securities Industries Essentials (SIE) exam. Additionally, a FINRA member firm must file a Form U4 application on your behalf through FINRA’s Central Registration Depository (CRD).

What does the Series 6 qualify me to do?

A Series 6 license qualifies you to solicit, purchase, and/or sell the securities of companies registered under the Investment Company Act of 1940, including mutual funds, variable contracts, and closed-end companies at their initial offering only.

What score do I need to pass the exam?

FINRA has yet to announce the required passing score for the new Series 6 exam; however, the exam that is in effect until October 2018 requires a passing score of 70%.

How many questions are on the exam?

There are 50 scored and 5 unscored questions. The 5 unscored questions are randomly distributed, so test takers do not know which questions are not scored. The unscored questions are being tried out by the exam committee.

Are the questions put into any order?

No, the questions are randomly distributed.

If I get some questions correct, does the test adjust and give me progressively harder questions?

No, the questions are randomly distributed.

How long is the exam?

You’ll have 90 minutes (1 hour and 30 minutes) to complete the exam.

Do I need to be sponsored by a FINRA member firm?

Yes, to take the Series 6 and any other FINRA exam you must be sponsored by a FINRA member firm.

Where can I take the exam?

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