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In the United States, the investment company products/variable life contracts representative exam, is commonly referred to as the Series 6 exam. Individuals passing this multiple choice exam are licensed to sell a limited set of securities products:
Closed-end funds on the initial offering only
Unit investment trusts
A Series 6 registered individual is not a stockbroker since Series 6 license holders cannot sell stock, other corporate securities, direct participation programs (DPPs), or option products.
This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD). In order to take the exam, an individual must be sponsored by a member firm of either FINRA or a self-regulatory organization (SRO). The cost of the exam is $95.00. Individuals are allowed two hours and fifteen minutes to complete 100 multiple choice questions. The passing score is 70%, and those who fail this exam must wait thirty days before taking it again.
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