101PD

United States · Original 101PD learning guide

Series 6 Investment Company and Variable Contracts Exam Guide

Role-focused preparation for investment-company and variable-contract products, customer recommendations, transactions, records, and representative conduct.

Series 6 candidates must move beyond recognizing products to performing the representative’s workflow: opening accounts, gathering facts, explaining risks, processing transactions, and staying inside registration boundaries.

Skills you will practice

  • Customer-profile analysis
  • Packaged-product comparison
  • Variable-contract reasoning
  • Transaction processing
  • Conduct-rule application

Prerequisites

  • SIE-level knowledge is recommended; FINRA eligibility and sponsorship rules apply to the qualification exam.

Designed for

Sponsored Series 6 candidates · Financial-services trainees · SIE graduates preparing for a top-off examination

What a learner should be able to do

  1. Outcome 1

    Explain the permitted activities and limits of the Series 6 registration.

  2. Outcome 2

    Compare mutual funds, variable products, municipal fund securities, and related risks.

  3. Outcome 3

    Apply customer-profile, communication, transaction, and recordkeeping rules.

  4. Outcome 4

    Use objective-level diagnostics to prepare for the qualification exam.

Original curriculum architecture

The final course will expand these modules with original explanations, realistic cases, practice questions, and source review.

Module 1

Representative role

Registration boundaries, supervision, communications, and customer contacts.

Module 2

Investment-company products

Structure, pricing, expenses, taxation, disclosures, and transactions.

Module 3

Variable contracts and plans

Insurance features, separate accounts, suitability factors, and exchanges.

Module 4

Account workflow and exam practice

Opening, recommendations, orders, records, complaints, and mixed sets.

Applied portfolio exercise

Customer product-comparison file

Prepare a non-sales training file that maps a fictional customer profile to product questions, risks, disclosures, and supervisory escalation.

  • Customer fact pattern
  • Product comparison
  • Supervision checklist

Sources and boundaries

Sources establish current requirements and standards. They do not supply 101PD’s lesson text, scenarios, assessments, or project work.