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Discussing key topics with peers can help reinforce your learning. Study groups allow candidates to clarify doubts, share insights, and gain new perspectives on difficult topics.
Key Topics Covered in the Series 6 Dump Sheet
Securities and Investment Company Products
• Mutual funds (open-end and closed-end funds)
• Unit investment trusts (UITs)
• Exchange-traded funds (ETFs)
• Variable annuities and life insurance products
FINRA and SEC Regulations
• Securities Act of 1933 and 1934
• Investment Company Act of 1940
• FINRA Rules (Suitability Rule, Best Interest Rule)
• Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations
Ethical and Professional Conduct
• Code of ethics for financial representatives
• Prohibited practices (insider trading, misleading advertising, churning)
• Ethical sales practices and client suitability
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