Series 6

Series 6

A license entitling the holder to buy and sell mutual funds, variable annuities, and some insurance products on behalf of clients. In order to receive a Series 6 license, one must pass a multiple choice examination covering each of these investment vehicles, as well as the securities and tax regulations involved with them. The license and examination are administered by FINRA.

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Series 6. The Series 6 is a licensing examination that you must pass to be entitled to sell mutual funds and variable annuities to investors.

The examination, which is administered by NASD, is a 100-question multiple choice test that puts primary emphasis on knowledge of the products plus the securities and tax regulations that apply.

Anyone taking the exam must be sponsored by either an NASD member firm or an industry self-regulatory organization (SRO).