Investment Company and Variable Contracts Products Qualification Exam Course

by Securities and Insurance Training For Exam Success

About the Investment Company and Variable Contracts Products Qualification Exam (Series 6) The Series 6 is designed to test candidates entering the securities industry in four major topic Function 1. Seeks Business for the Broker-Dealer from Customers and Potential Customers (12 Final Exam Questions); Function 2. Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives (8 Final Exam Questions); Function 3. Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records (25 Final Exam Questions); and, Function 4. Obtains and Verifies Customers’ Purchase and Sales Instructions; Processes, Completes and Confirms Transactions (5 Final Exam Questions). The information is presented (along with a total of 50 sample multiple-choice questions throughout the four function areas) to prepare you for the top-up exam, beginning October 1, 2018.

248 pages, Paperback

Published August 27, 2018