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FINRA Series 6 study guide

FINRA Series 6, administered by FINRA (Financial Industry Regulatory Authority) writes, owns, and administers the Series 6 exam, is mapped here as 3 topic areas; the heaviest are F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers (24%), F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives (16%) and F4 — Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions (10%).

About this course: Original FINRA Series 6 practice questions, recorded lessons, memory hooks and explained answers. Start with the free introductory modules.

FINRA Series 6 at a glance

Questions
50
Time allowed
1 hour 30 minutes (90 minutes)
Passing standard
70 of 100 on an equated 0-100 scale (of the 50 SCORED items)
Format
55 items administered per candidate (50 scored, 4-choice multiple choice, + 5 unscored, unidentified pretest items blended in — treat all 55 as live)
Standard / edition
Copyright-2020 FINRA Series 6 Content Outline, current edition served on finra.org as of 2026-07-08
Administered by
FINRA (Financial Industry Regulatory Authority) writes, owns, and administers the Series 6 exam

Source: Copyright-2020 FINRA Series 6 Content Outline, current edition served on finra.org as of 2026-07-08, FINRA (Financial Industry Regulatory Authority) writes, owns, and administers the Series 6 exam. Confirm current details with the exam owner before you book.

Topic areas and weights

Topic areaWeightConceptsGuide
F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers24%2Section below
F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives16%4Section below
F4 — Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions10%1Section below

Study plan in this course

  1. Communications with the Public — 7 cards · free
  2. Prospectus, New Issues & Exempt Offerings — 6 cards · free
  3. Accounts, Retirement Plans & Customer Screening — 7 cards · full course
  4. Suitability & Regulation Best Interest — 7 cards · full course
  5. Investment Companies & Fund Structure — 9 cards · full course
  6. Share Classes, Sales Charges & Breakpoints — 10 cards · full course
  7. Variable Annuities & Variable Life — 10 cards · full course
  8. Underlying Securities, Tax & Municipal Fund Securities — 7 cards · full course
  9. Orders, Settlement, Records & Complaints — 6 cards · full course

F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers

F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers carries 24% of the FINRA Series 6 blueprint used in this course, the second-largest of its 3 weighted areas. It spans 2 concepts. The course teaches it in 2 study units: Communications with the Public and Prospectus, New Issues & Exempt Offerings.

What F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers covers

  • FINRA Rule 2330 requires a registered principal to review and approve — FINRA Rule 2330
  • During the waiting period, a firm may distribute a preliminary pr... — Securities Act of 1933

Official references for F1 — Seeks Business for the Broker-Dealer from Customers and Potential Customers

  • FINRA Rule: 2210, 2211, 2212, 2213, 2330
  • FINRA Rule 2210 + Rule: 2211
  • Securities Act of 1933, Section: 5
  • Securities Act of: 1933
  • Securities Act of 1933 + SEC Rule: 498
  • SEC Rule: 482
  • Securities Act of 1933, Regulation D and Rule: 147
  • Securities Act of 1933 + Uniform Securities Act state-law analog

In the app this area comes with 13 memory cards and 24 module-quiz questions and is part of the free starting modules.

F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives

F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives carries 16% of the FINRA Series 6 blueprint used in this course, the third-largest of its 3 weighted areas. It spans 4 concepts. The course teaches it in 2 study units: Accounts, Retirement Plans & Customer Screening and Suitability & Regulation Best Interest.

What F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives covers

  • Account registration types a Series 6 rep must distinguish: individual, joint tenants with rights of survivorship — FINRA Series 6 Content Outline F2
  • New-account opening and any change to account information require review and a... — FINRA supervisory-system requirements referenced by outline F2 account-approval requirements
  • Form CRS is a short, standardized disclosure document that broker-dealers and investment advisers ... — SEC Form CRS requirement
  • A recommendation to HOLD a security is subject to Reg BI's Care Obligation — SEC Rule 15l-1 + FINRA Rule 2111, hold-recommendation guidance

Official references for F2 — Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives

  • FINRA Series 6 Content Outline: F2
  • FINRA Rule: 2090, 3260, 2111
  • FINRA supervisory-system requirements referenced by outline F2 account-approval requirements
  • FINRA Rule 2111, Supplementary Material
  • SEC Rule: 15l-1
  • SEC Form CRS requirement
  • SEC Rule 15l-1 + FINRA Rule 2111, hold-recommendation guidance
  • Customer Identification Program requirements referenced by outline F2 account-opening due diligence
  • SEC Regulation S-P referenced by outline F2 customer-information-protection requirements
  • Internal Revenue Code retirement-account provisions + ERISA, referenced by outline F2 retirement-plan/rollover requirements

In the app this area comes with 14 memory cards and 16 module-quiz questions in the full course.

F4 — Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions

F4 — Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions carries 10% of the FINRA Series 6 blueprint used in this course, the 4th-largest of its 3 weighted areas. It spans 1 concept. The course teaches it in 1 study unit: Orders, Settlement, Records & Complaints.

What F4 — Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions covers

  • Standard securities transactions settle T+1 under SEC Rule 15c6-1; SEC Exchange Act Rule 10b-10 — SEC Rule 15c6-1 + SEC Exchange Act Rule 10b-10 + FINRA Rule 2232

Official references for F4 — Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions

  • FINRA Rule: 5310, 2231, 11870
  • SEC Exchange Act Rules 17a-3/17a-4 + FINRA Rule 4510 series
  • SEC Rule 15c6-1 + SEC Exchange Act Rule 10b-10 + FINRA Rule: 2232
  • FINRA Rule 4530 + FINRA Code of Arbitration Procedure + Form: U4/U5

In the app this area comes with 6 memory cards and 10 module-quiz questions in the full course.

Official references

  • FINRA Rule: 2210, 2211, 2212, 2213, 2330, 2090, 3260, 2111, 5310
  • FINRA Rule 2210 + Rule: 2211
  • Securities Act of 1933, Section: 5
  • Securities Act of: 1933
  • Securities Act of 1933 + SEC Rule: 498
  • SEC Rule: 482, 15l-1
  • Securities Act of 1933, Regulation D and Rule: 147
  • Securities Act of 1933 + Uniform Securities Act state-law analog
  • FINRA Series 6 Content Outline: F2
  • FINRA supervisory-system requirements referenced by outline F2 account-approval requirements
  • FINRA Rule 2111, Supplementary Material
  • SEC Form CRS requirement
  • SEC Rule 15l-1 + FINRA Rule 2111, hold-recommendation guidance
  • SEC Exchange Act Rules 17a-3/17a-4 + FINRA Rule 4510 series
  • SEC Rule 15c6-1 + SEC Exchange Act Rule 10b-10 + FINRA Rule: 2232

Start the free FINRA Series 6 modules → · Pricing · FAQ