Key Topics Covered in a Series 6 Dump Sheet
A high-quality Series 6 dump sheet includes essential topics that frequently appear on the exam. Below are the core subjects you should include:
Securities and Investment Products
Mutual funds, variable annuities, investment company products, unit investment trusts (UITs).
Regulatory Framework and FINRA Rules
FINRA and SEC regulations,series 6 dump sheet Investment Company Act of 1940, Securities Act of 1933, anti-money laundering (AML) regulations, Customer Identification Program (CIP).
Customer Accounts & Suitability
Types of accounts (individual, joint, custodial, retirement, etc.), Know Your Customer (KYC) rule, risk tolerance assessment, investment objectives and suitability guidelines.
Sales Practices and Ethical Considerations
Prohibited practices (e.g., churning, front-running, insider trading), communication and disclosure requirements, advertising and sales literature regulations.
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