Series 6 - Series 7 Specialists

Series 6 Overview

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The Series 6 Limited Securities Representative License enables the holder to sell mutual funds, Unit Investment Trusts and other packaged products. If the representative has necessary insurance licensing, variable annuities and variable life insurance products can also be sold. This is the legacy Series 6, but can be used for the 6 Topoff.

Be sure to download the course outline before you get started: Download Course Outline Here

Course Information

Overview

Course Overview

Corporate Bonds

Corporate Bonds 1

This video covers terminology associated with corporate bonds

Corporate Bonds 2

This video completes the discussion of corporate bonds, including market forces, pricing and risks

Equity Securities

This video discusses the different types of equity securities and their operation.

Other Debt Securities

This video covers an array of debt securities such as Treasuries and Mortgage-backed

Other Securities and Trading Markets

Other Debt Securities 1

This video covers a variety of lightly tested but important securities, and trading markets

Trading Markets and Trading Terminology 2

This video continues the discussion of trading markets and defines key trading terms

New Issues

New Issues 1

This video begins discussion of bringing new issues to market

New Issues 2

This video continues discussion of bringing new issues to market

Investment Analysis

Investment Analysis 1

Economic and fundamental factors affecting security performance are discussed

Investment Analysis 2

Risk factors and types of equity securities are the topics of this video

Suitability Factors

This heavily tested module discusses matching investor needs with investment vehicles

Investment Companies

Investment Companies 1

Types of investment companies, their characteristics, and distribution practices are discussed

Investment Companies 2

Characteristics of the various types of funds are detailed in this module

Investment Companies 3

Share classes, along with regulated and diversified management companies are covered

Customer Accounts

Account types, documentation and account maintenance are topics of this important module

Investing in Investment Companies

Investing in Investment Companies 1

Considerations important to both reps and investors when considering investing

Investing in Investment Companies 2

Further important considerations when investing in investment companies

Variable Annuities and Variable Insurance

Variable Annuities and Variable Insurance 1

Important features and the operation of variable annuities is discussed in detail

Variable Annuities and Variable Insurance 2

Further features of variable annuities are discussed

Variable Annuities and Variable Insurance 3

This video features an in-depth discussion of variable life insurance

Contractual Plans and Retirement Plans

A test-focused discussion of the most likely questions on these two topics

Taxation

This video covers elements of income and taxation encountered on the test

Laws and Federal Regulations

Laws and Federal Regulations 1

Various federal laws and regulations are discussed in this module

Laws and Federal Regulations 2

A continuation of the discussion of federal laws and securities regulations

FINRA and SRO Regulations

FINRA and SRO Regulations 1

The discussion of SROs begins with an in-depth discussion of FINRA, registration and rules

FINRA and SRO Regulations 2

Discussion of FINRA rules continues with a detailed examination of the Conduct Rules and Uniform Practice Code

FINRA and SRO Regulations 3

Uniform Practice Code continues; Code of Procedure; Code of Arbitration