The outline at a glance
| Section | Weight | Scored questions |
|---|---|---|
| F1: Seeks Business for the Broker-Dealer | 24% | 12 |
| F2: Opens Accounts After Obtaining and Evaluating Customer Profile | 16% | 8 |
| F3: Provides Information, Makes Suitable Recommendations, Transfers Assets | 50% | 25 |
| F4: Obtains and Verifies Instructions; Processes Transactions | 10% | 5 |
Total | 100% | 50 |
F1: Seeks Business for the Broker-Dealer
24% of the exam, 12 scored questions.
- Communications with the public (Rule 2210), investment company sales literature and fund-ranking rules.
- Variable contract advertising, seminars and required disclosures.
- Prospectus delivery basics for investment companies.
Common trap: Underestimating this section: at 24% it is a much larger share of the Series 6 than communications are on the Series 7.
F2: Opens Accounts After Obtaining and Evaluating Customer Profile
16% of the exam, 8 scored questions.
- Account registrations and new-account requirements; CIP and KYC.
- Retirement plans and 529 plans at the level of product recommendations.
- Suitability and Reg BI profile factors.
Common trap: Confusing a rollover (funds pass through your hands, 60-day limit) with a direct transfer.
F3: Provides Information, Makes Suitable Recommendations, Transfers Assets
50% of the exam, 25 scored questions.
- Mutual fund structure, NAV, forward pricing, share classes, sales charges, breakpoints, LOI and ROA.
- Variable annuities: separate account, accumulation and annuity units, assumed interest rate, surrender charges, 1035 exchanges.
- UITs, ETFs, closed-end funds and municipal fund securities (529s).
- Tax treatment of fund distributions and annuity payouts.
Common trap: Recommending a purchase just below a breakpoint; that is a classic breakpoint-sales violation.
F4: Obtains and Verifies Instructions; Processes Transactions
10% of the exam, 5 scored questions.
- Processing purchases, redemptions and exchanges; redemption price vs. offering price.
- Confirmations, statements and settlement.
Common trap: Forgetting that fund orders are filled at the next computed NAV (forward pricing), not the last one.
Study in outline order but spend time in proportion to weight. Take a diagnostic first, then drill your two weakest sections, then switch to timed full-length exams in the final 1-2 weeks.
Download the printable Series 6 outline checklist
A one-page checklist of every outline section and key rule on this page, as a Word file or a printable page.
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Outline-weighted original questions with explanations, section drills and timed full-length exams. $79 one-time, 12 months, free access extension until you pass.
Frequently asked questions
What is on the Series 6?
The official outline has 4 sections: F1: Seeks Business for the Broker-Dealer (24%); F2: Opens Accounts After Obtaining and Evaluating Customer Profile (16%); F3: Provides Information, Makes Suitable Recommendations, Transfers Assets (50%); F4: Obtains and Verifies Instructions; Processes Transactions (10%).
Where do I find the official Series 6 content outline?
On FINRA’s website; we link the current PDF in the sources below. FINRA publishes the outline and updates it when rules change.
How many hours should I study for the Series 6?
Most candidates plan roughly 40-70 hours. That range is our editorial estimate, not an official figure; adjust it after a diagnostic test.
Sources
- FINRA - Series 6 Content Outline (accessed 2026-09-23)
- FINRA - Series 6 Investment Company and Variable Contracts Products Representative Exam (accessed 2026-09-23)