Your Essential Series 6 Dump Sheet Download – DumpsArena

Exam Topics

The Series 6 exam is divided into four main sections:

1. Seeks Business for the series 6 dump sheet Broker-Dealer from Customers and Potential Customers (24%)

o Understanding customer needs

o Financial profile assessment

o Suitability analysis

2. Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives (18%)

o New account procedures

o Regulatory requirements

o Account types and documentation

3. Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records (50%)

o Investment recommendations

o Mutual funds and variable annuities

o Tax implications and compliance

4. Obtains, Verifies, and Confirms Customer’s Purchase and Sales Instructions (8%)

o Order execution

o Trade confirmations and settlement procedures