Series 6 & 63

Series 6 – Investment Company and Variable Contracts Products Representative Examination (IR)

Passing the Series 6 exam is required by the Financial Industry Regulatory Authority (FINRA) in order for individuals to qualify to sell primary offerings of shares from closed-end companies, mutual funds, unit investment trusts and variable products on behalf of a registered broker-dealer. Once you pass your Series 6 exam, you will be qualified as a Registered Representative (RR). The Series 6 exam consists of 100 multiple-choice questions and must be completed within 2 hours and 15 minutes. A score of 70% is required to pass the exam.

Series 63 – Uniform Securities Agent State Law Examination

Passing your Series 63 exam qualifies you as a Securities Agent. This exam was developed by the North American Securities Administrators Association (NASAA), and is administered by the Financial Industry Regulatory Authority (FINRA). Series 63 is the state law and regulation exam for broker-dealer representatives that focuses on the Uniform Securities Act and the Statement of Policy and Model Rules adopted by NASAA. This exam consists of 60 multiple-choice questions and must be completed within 1 hour and 15 minutes. A score of 72% is required to pass the exam.


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