Module 1
Representative role
Registration boundaries, supervision, communications, and customer contacts.
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
- Outcome 1
Explain the permitted activities and limits of the Series 6 registration.
- Outcome 2
Compare mutual funds, variable products, municipal fund securities, and related risks.
- Outcome 3
Apply customer-profile, communication, transaction, and recordkeeping rules.
- Outcome 4
Use objective-level diagnostics to prepare for the qualification exam.
Original curriculum architecture
Each course is organized around these modules, original explanations, realistic cases, practice questions, and documented source review.
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.
Official exam relationship
Independent preparation for Investment Company and Variable Contracts Products Representative examination
- Exam owner
- Financial Industry Regulatory Authority
- Exam or series code
- Series 6
101PD provides independent preparation and a training-completion record. FINRA controls eligibility, sponsorship, enrollment, the official examination, scoring, and securities registration.
Review the official exam informationApplied 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.
Source set reviewed August 21, 2026.
- FINRA qualification exams
Official exam and registration boundaries, including sponsorship requirements where applicable.
- 101PD original-work standard
101PD develops its own explanations, examples, assessments, and applied projects.
Exam-prep questions
Who issues the Investment Company and Variable Contracts Products Representative examination?
Financial Industry Regulatory Authority controls the official Investment Company and Variable Contracts Products Representative examination, including current eligibility, registration, delivery, scoring, and the resulting license or certification.
Does a 101PD completion certificate prove that I passed the official exam?
No. A 101PD certificate documents completion of independent training only. It is not an exam score, occupational license, authority approval, or third-party certification.
Are official exam registration and fees included?
No. Candidates register with Financial Industry Regulatory Authority or its designated testing provider and pay any official fees separately. Always confirm the current candidate rules before registering.