The go-to guide to acing the Series 6 Exam!
Passing the Series 6 Exam qualifies an individual to function as an agent of a broker dealer and allows the limited representative to transact business in mutual funds (closed-end funds on the initial offering only), unit investment trusts, variable annuities, and variable life insurance products. In addition to passing the Series 6 Exam, an agent may be required to pass a state life insurance exam to transact business in variable contracts.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 6 Exam Review 2019 arms you with what you need to score high on this tough 100-question test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:
- Dozens of examples
- Assorted practice questions for each subject area covered in the exam
- Priceless test-taking tips and strategies
- Helpful hints on how to study for the test, manage stress, and stay focused
Table of Contents
About The Series 6 Exam xv
About This Book xix
About The Test Bank xxi
About The Securities Institute of America xxiii
Chapter 1 Equity Securities 1
Chapter 2 Debt Securities 35
Chapter 3 Government and Municipal Securities 59
Chapter 4 The Money Market 71
Chapter 5 Economic Fundamentals 79
Chapter 6 Mutual Funds 93
Chapter 7 Variable Annuities and Life Insurance 135
Chapter 8 Retirement Plans 157
Chapter 9 Customer Accounts 177
Chapter 10 Customer Recommendations, Professional Conduct, and Taxation 203
Chapter 11 Securities Industry Rules and Regulations 231
Answer Keys 269
Glossary of Exam Terms 279
Index 345
