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Series6 exam Format | Series6 Course Contents | Series6 Course Outline | Series6 exam Syllabus | Series6 exam Objectives


The Series 6 Examination is the Investment Company and Variable Contracts Products Representative Qualification Examination. The examination is developed and maintained by the Financial Industry Regulatory Authority (FINRA). This Content Outline provides a comprehensive guide to the subjects covered on the Investment Company and Variable Contracts Products Representative Qualification Examination (Series 6). The outline is intended to familiarize examination candidates with the range of subjects covered on the examination- as well as the depth of knowledge required. trial questions are also included to acquaint candidates with the types of multiple-choice questions used on the examination. It is recommended that candidates refer to the content outline as part of their preparation to take the examination. Candidates are responsible for planning their course of study in preparation for the examination.

The Series 6 Examination is designed to assess the competency of entry-level Investment Company and Variable Contracts Products Representatives. It is intended to safeguard the investing public by helping to ensure that Investment Company and Variable Contracts Products Representatives are competent to perform their jobs. Given this purpose- the Series 6 Examination seeks to measure the degree to which each candidate possesses the knowledge- skills and abilities needed to perform the critical functions of an Investment Company and Variable Contracts Products Representative. For more information about the permissible activities of an Investment Company and Variable Contracts Products Representative.

Job Functions Number of Questions
Function 1 Regulatory fundamentals and business development 22
Function 2 Evaluates customers financial information- identifies investment objectives- provides information on investment products- and makes suitable recommendations 47
Function 3 Opens- maintains- transfers and closes accounts and retains appropriate account records 21
Function 4 Obtains- verifies- and confirms customer purchase and sale instructions 10
Total 100

The Series 6 Content Outline was developed based on the results of a job analysis study of Investment Company and Variable Contracts Products Representatives. The job analysis process included collecting data about the job functions- tasks and required knowledge of Investment Company and Variable Contracts Products Representatives from a wide variety of firms using numerous data collection techniques- including a survey.
To ensure and sustain the job relevance of the examination- under the guidance of FINRA staff- a committee of industry representatives (the Committee) writes- reviews and validates all test questions. Test questions are subjected to multiple reviews prior to inclusion on the examination and each question is linked directly to a component of the content outline. Test questions vary in difficulty and complexity. Each question will have only one correct or best answer.
The bank of test questions changes constantly as a result of amendments to- or the introduction of- government and self-regulatory organization (SRO) rules and regulations- changes in industry practice and the introduction of new products. It is the candidates responsibility to keep abreast of such changes when preparing to take the examination. Examination questions and their statistical performance are analyzed routinely by FINRA staff and the Committee to ensure that test questions continue to be relevant to the functions of Investment Company and Variable Contracts Products Representatives. Examination questions are updated when necessary to reflect current industry practices and government and SRO rules and regulations.

The examination is administered via computer. A tutorial on how to take the examination via computer is provided prior to taking the examination. Each candidates examination includes 5 additional- unidentified pretest questions that do not contribute toward the candidate's score. The 5 questions are randomly distributed throughout the examination. Therefore- each candidates examination consists of a total of 105 questions (100 scored and 5 unscored). Each scored test question is worth one point. There is no penalty for guessing. Therefore- candidates should attempt to answer all questions. Candidates will be allowed 135 minutes to complete the examination. Scratch paper and basic electronic calculators will be provided to candidates by the test administrator- and must be returned to the test center administrator at the end of the testing session. Some test questions involve calculations. Only calculators provided by the test center administrators are allowed for use during the examination. Candidates will not be permitted to bring any reference material to their testing session. Severe penalties are imposed on candidates who cheat or attempt to cheat on FINRA-administered examinations.

Following a well-established process known as standard setting- FINRA determines the passing score for the examination based on the judgment of a committee of industry professionals with the designated registration. For the Series 6 exam- the passing score is 70. This passing score reflects the competency needed to hold the designated registration.

All candidate test scores have been placed on a common scale using a statistical adjustment process known as equating. Equating scores to a common scale accounts for the slight variations in difficulty that may exist among the different sets of exam questions that candidates receive. This allows for a fair comparison of scores and ensures that every candidate is held to the same passing standard regardless of which set of exam questions he or she received.

On the day of the test- candidates will receive a report of their test results both on screen and in paper format at the end of their test session. The score report will indicate pass/fail status and a score profile indicating performance based on each major content area covered on the examination. It is recommended that candidates who fail the examination review the information provided on the score report- as they may want to focus on the areas that they performed poorly on when preparing to retake the examination. For security reasons- the examination and individual test questions are not available for review after taking the examination.

FUNCTION 1 Regulatory fundamentals and business development
1.1: Demonstrates understanding of fundamental regulatory knowledge and provides personal and professional information required to be disclosed to obtain and maintain appropriate registration(s)
Knowledge of:
General industry regulations- including SEC- SRO- and state requirements
Registration- qualification- continuing education- and termination of employment of associated persons
Permitted activities for registered and non-registered associated persons
FINRA By-Laws
Article I Definitions
Paragraph (rr) Person Associated with a Member
Article III Qualifications of Members and Associated Persons
Section 1 Persons Eligible to Become Members and Associated Person of Members
Section 3 Ineligibility of Certain Persons for Membership or Association
Section 4 Definition of Disqualification
Article V Registered Representatives and Associated Persons
FINRA Rules
1010 Electronic Filing Requirements for Uniform Forms
1122 Filing of Misleading Information as to Membership or Registration
1250 Continuing Education Requirements
2263 Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4
3110 Supervision
3270 Outside Business Activities of an Associated Person
4530 Reporting Requirements
8312 FINRA BrokerCheck Disclosure
NASD Rules
IM-1000-2 Status of Persons Serving in the Armed Forces of the United States
1031 Registration Requirements
1032(b) Investment Company and Variable Contracts Products Representative
1060 Persons Exempt from Registration
1070 Qualification Examinations and Waiver of Requirements
1080 Confidentiality of Examinations
3010(e) Supervision (Qualifications Investigated)
3010(f) Supervision (Applicants Responsibility)
3040 Private Securities Transactions of an Associated Person
3050 Transactions for or by Associated Persons
Securities Exchange Act of 1934
Section 3(a) Definitions and Application of Title
Section 15 Registration and Regulation of Brokers and Dealers
Section 15A Registered Securities Associations
Section 17(f)(2) Accounts and Records- Reports- Examinations of Exchanges- Members- and Others
Rule 17f-2 Fingerprinting of Security Industry Personnel
Investment Advisers Act of 1940
Section 201 Findings
Section 202(a) Definitions (of investment advisers and persons associated with an investment adviser)
Section 203 Registration of Investment Advisers
1.2: Solicits business by contacting and building relationships with customers and prospects in person- by telephone- mail or electronic means
Knowledge of:
Product definitions and classifications
Required approvals and content standards of public communications: retail communications- institutional communications- correspondence- research reports- telephone solicitations
Appropriate use of professional designations
Definition of regulated investment company by the Internal Revenue Code
Conduit or pipeline theory- required distribution of income and realized capital gains
Do-not-call lists and other telemarketing requirements
FINRA Rules
2210 Communications with the Public
2212 Use of Investment Companies Rankings in Retail Communications
2213 Requirements for the Use of Bond Mutual Fund Volatility Rating
2214 Requirements for the Use of Investment Analysis Tools
3160 Networking Arrangements Between Members and Financial Institutions
3170 Tape Recording of Registered Persons by Certain Firms
3230 Telemarketing
4512 Customer Account Information
5230 Payments Involving Publications that Influence the Market Price of a Security
NASD Rules
IM-2210-2 Communications with the Public About Variable Life Insurance and Variable Annuities
Securities Act of 1933
Section 2 Definitions; Promotion of Efficiency- Competition- and Capital Formation
(definitions of offer to sell and prospectus)
Section 5 Prohibitions Relating to Interstate Commerce and the Mails
Section 17 Fraudulent Interstate Transactions
Rule 134 Communications Not Deemed a Prospectus
Rule 482 Advertising by an Investment Company as Satisfying Requirements of Section
10 of Securities Act of 1933
Investment Company Act of 1940
Section 2 General Definitions
Section 3 Definition of Investment Company
Section 4 Classification of Investment Companies
Section 5 Subclassification of Management Companies
Section 6 Exemptions
Section 8 Registration of Investment Companies
Rule 34b-1 Sales Literature Deemed to Be Misleading
1.3: Discusses the products and services offered with customers and prospects and distributes
offering and disclosure documents
Knowledge of:
Content and delivery of prospectuses- Statement of Additional Information (SAI)- and other offering
documents
Networking arrangements
Regulations related to marketing/prospecting
Initial privacy disclosures to customers (e.g.- definitions- privacy and opt-out notices- disclosure
limitations- exceptions)
FINRA Rules
2020 Use of Manipulative- Deceptive- or other Fraudulent Devices
2266 SIPC Information
NASD Rule
2420 Dealing with Non-Members
Securities Exchange Act of 1934
Section 3(a)(4)(B) Definitions and Application- Broker (Exception for Certain Bank
Activities)
Section 10 Manipulative and Deceptive Devices
Rule 10b-3 Employment of Manipulative and Deceptive Devices by Brokers or Dealers
Securities Act of 1933
Section 10 Information Required in Prospectus
Section 23 Unlawful Representations
Regulation D Rules Governing the Limited Offer and Sale of Securities Without
Registration Under the Securities Act of 1933
Rule 431 Summary Prospectuses
Rule 498 Summary Prospectuses for Open-End Management Investment Companies
Rule 501 Definitions and Terms Used in Regulation D
Rule 506 Exemption for Limited Offers and Sales Without Regard to Dollar Amount of
Offering
Investment Company Act of 1940
Section 35 Unlawful Representations and Names
Rule 35d-1 Investment Company Names
1.4: Conducts seminars and holds other public forums with customers and prospects- and
obtains appropriate approvals
Knowledge of:
Definitions of retail communications- institutional communications and correspondence- including
categorization of public appearances- seminars and related sales literature and advertising
Regulations regarding communications with the public
Standards and approval of communications
FINRA Rules
2210 Communications with the Public
NASD Rule
IM-2210-2 Communications with the Public About Variable Life Insurance and Variable
Annuities
Securities Act of 1933
Section 12 Civil Liabilities Arising in Connection with Prospectuses and Communications
Rule 135a Generic Advertising
Rule 135b Materials Not Deemed an Offer to Sell or Offer to Buy Nor a Prospectus
Rule 156 Investment Company Sales Literature
Rule 482 Advertising by an Investment Company as Satisfying Requirements of Section
10 of Securities Act of 1933
Investment Company Act of 1940
Section 30(b) Periodic and Other Reports; Reports of Affiliated Persons
Rule 34b-1 Sales Literature Deemed to be Misleading

FUNCTION 2 Evaluates customers financial information- identifies
investment objectives- provides information on investment products- and
makes suitable recommendations
2.1: Gathers customers financial and non-financial information to identify- analyze- and assess
risk tolerance- investment experience and sophistication level
Knowledge of:
Essential facts regarding customers and customer relationships
Financial and personal profile of a customer (e.g.- age- other investments- financial situation and
needs- tax status- investment objectives- investment experience- investment time horizon- liquidity
needs- risk tolerance)
Reasonable-basis suitability- customer-specific suitability and quantitative suitability
Investment strategies and recommendations to hold
FINRA Rules
2010 Standards of Commercial Honor and Principles of Trade
2090 Know Your Customer
2111 Suitability
2111.03 Recommended Strategies
2111.05 Components of Suitability Obligations
2.2: Makes suitable investment recommendations based on customers current investment profile-
including financial status- tax status- and investment objectives and explains to customers
how recommended products are structured and priced and the risks associated with the
underlying investments
Knowledge of:
Investment profile and strategies
Types of investment returns (e.g.- dividends- capital gains- return of capital)
Securities markets (e.g.- exchange markets- over-the-counter (OTC)/negotiated market- new issue
market (e.g.- primary offering- role of investment banker))
Fair dealings with customers and appropriate business conduct (e.g.- application- definitions- sales
charges- withhold orders- refund of sales charges- dealer concessions- member compensation-
execution of portfolio transactions- breakpoint sales)
FINRAs cash and non-cash compensation regulations (e.g.- gifts and business entertainment
limits)
Insider trading and prohibited activities (e.g.- churning- front running- switching- commingling-
unauthorized trading- guarantees against losses- selling away)
Capitalization- pricing- secondary market trading- and redeemability
Types of underlying securities
Equity securities: Definitions and features of common stock- preferred stock and other
types of equity securities (e.g.- ADRs- rights- and warrants)
Debt securities: Definitions and features of corporate bonds and other debt securities
(e.g.- zero coupon bond- convertible bond- mortgage-backed securities (pass through)-
collateralized mortgage obligations (CMOs)- asset-backed securities (ABS))
Options: definition and features
U.S. Treasury securities (e.g.- Treasury bills- notes- and bonds- Separate Trading of
Registered Interest and Principal Securities (STRIPS)- and Treasury Inflation
Protection Securities (TIPS))
U.S. government agencies securities (e.g.- Government National Mortgage
Association (GNMA) securities- Federal National Mortgage Association (FNMA)
securities- Federal Home Loan Mortgage Corporation (FHLMC) securities) issuing
agencies and their purposes- risks- payment of interest and principal
Municipal bonds (General Obligation (GO) bonds- Revenue bonds)
Other types of debt securities and money market instruments- including but not limited
to: corporate commercial paper- brokered certificates of deposit (CDs) and bankers
acceptances
Other investment types- including but not limited to: Exchange Traded Funds (ETFs) and hedge
funds
Variable annuities- deferred variable annuities and variable life (fees and charges- premiums-
riders- investment options- death benefits and payout options)
Tax considerations
Mutual fund investor activities- reporting dividend and capital gains distributions to IRS
and state tax agency- tax treatment of securities transactions and realized/unrealized
net capital gains/losses- exchanges as taxable event- shareholders tax basis (e.g.-
offering price- exchange of securities- gift of securities- inheritance of securities-
reinvested dividends and capital gains distributions)
Determining holding period of securities (e.g.- trade date- acquisition- redemption-
wash sale rule)
Tax treatment of variable annuity contracts (e.g.- accumulation period- annuitization
period- 72(t) taxation of annuity payments- withdrawals and surrenders- death benefits-
1035 exchanges)
Tax treatment of variable life insurance to the policyholder (e.g.- during the life of the
policy- upon the death of the insured- upon full or partial surrender of the policy- 1035
exchanges- modified endowment contract (MEC))
FINRA Rules
2000 Series Duties and Conflicts
2060 Use of Information Obtained in Fiduciary Capacity
2111 - Suitability
2150 Improper Use of Customers Securities or Funds; Prohibition Against Guarantees
and Sharing in Accounts
2320 Variable Contracts of an Insurance Company
2330 Members Responsibilities Regarding Deferred Variable Annuities
2342 Breakpoint Sales
3220 Influencing or Rewarding Employees of Others
3240 Borrowing From or Lending to Customers
NASD Rules
IM-2420-1 Transactions Between Members and Non-Members
IM-2420-2 Continuing Commissions Policy
1060(b) Persons Exempt from Registration
2830 Investment Company Securities
MSRB Rule
G-19 Suitability of Recommendations and Transactions; Discretionary Accounts
Securities Exchange Act of 1934
Section 3(a) Definitions and Application (Definitions of broker- dealer- security-
investment contract)
Section 20A Liability to Contemporaneous Traders for Insider Trading
Section 21A Civil Penalties for Insider Trading
Rule 10b-5 Employment of Manipulative and Deceptive Devices
Securities Act of 1933
Section 2 Definitions; Promotion of Efficiency- Competition- and Capital Formation
(Definitions of issuer and underwriter)
Investment Company Act of 1940
Section 8(b) Registration of Investment Companies
Section 11 Offers of Exchange
Section 12 Functions and Activities of Investment Companies
Rule 12b-1 Distribution of Shares by Registered Open-End Management Investment
Company
Section 13 Changes in Investment Policy
Section 19 Payments or Distributions
Rule 19a-1 Written Statement to Accompany Dividend Payments by Management
Companies
Rule 19b-1 Frequency of Distribution of Capital Gains
Section 22 Distribution- Redemption- and Repurchase of Redeemable Securities
Rule 22c-1 Pricing of Redeemable Securities For Distribution- Redemption and
Repurchase
Rule 22d-1 Exemption From Section 22(d) to Permit Sales of Redeemable Securities at
Prices Which Reflect Sales Loads Set Pursuant to a Schedule
Rule 22d-2 Exemption From Section 22(d) for Certain Registered Separate Accounts
Rule 22e-1 Exemption From Section 22(e) During Annuity Payment Period of Variable
Annuity Contracts Participating in Certain Registered Separate Accounts
Section 23 Distribution and Repurchase of Securities: Closed-End Companies
Section 35 Unlawful Representations and Names
Section 37 Larceny and Embezzlement
Insider Trading and Securities Fraud Enforcement Act of 1988
Section 3 - Civil Penalties of Controlling Persons for Illegal Insider Trading by Controlled
Persons
Section 4 - Increases in Criminal Penalties
2.3: Provides appropriate disclosures concerning products- risks- services- costs- fees- current
quotes and explains pricing method
Knowledge of:
Definitions- characteristics- and concepts of products- types of accounts- and plans
Price and yield terms (e.g.- bid- ask- NAV- premium- par)
Tax treatment- contributions- accumulation- withdrawals- account ownership- beneficiaries-
benefits- required minimum distributions (RMD)- and rollovers and transfers
Retirement and tax advantaged plans
Types of individual retirement accounts (e.g.- IRAs: traditional- Roth and SEP)
Employer-sponsored retirement plans (e.g.- Simplified Employee Pension Plan (SEP)-
Savings Incentive Match Plans for Employees (SIMPLE)- IRA and 401(k)- 403(b) and
403(b)(7); 501(c)(3)- and 457 plans- Employee Retirement Income Security Act
(ERISA)
Non-qualified deferred compensation
Education plans (e.g.- 529 College Savings Plans- Coverdell Education Savings Plan)
Open-end investment company
Fund shares- important factors in comparison of funds- structure and operation (e.g.-
functions of the board of directors- investor advisor- underwriter/distributor- custodian-
and transfer agent)- rights of shareholders- exchange privileges within families of
funds- automatic reinvestment of dividend income and capital gains distributions-
systematic purchase and withdrawal plans- performance- dollar cost averaging (DCA)
Mutual fund
Types of portfolios and funds (e.g.- money market- fixed income- equity- specialized)
NAV per share- offering price- ex-dividend- share class- SEC Rule 12b-1 distribution
plans- letter of intent- rights of accumulation-
Fees- charges- and expenses including no load- load (e.g.- front-end- back-end)-
management fees- 12b-1 fees- administrative expenses- redemption fee- reduced
sales charges/quantity discounts- and breakpoints
Variable annuity and variable life insurance
Insurance company separate accounts/general accounts (Exempt under 3a-8 of the
Securities Act of 1933- Investment Company Act of 1940 Section 2(a)(37))
Valuation of variable annuity contracts (accumulation units- annuitization units-
assumed interest rate (AIR)- relationship between AIR and actual rate of return)
Variable life insurance (fixed and flexible premium types)
Fees- charges- and expenses including management fees- 12b-1 fees- mortality and
expense charges- administrative expenses- payout or withdrawal plans- conversion
privilege- restrictions- contingent deferred sales charge- and reduced sales
charges/quantity discounts
Unit Investment Trust (UIT)
Closed-end fund
Capitalization- pricing- distribution- redemption restrictions
FINRA Rules
2330 Members Responsibilities Regarding Deferred Variable Annuities
2330(b) Recommendation Requirements
2330(e) Training
Securities Act of 1933
Section 3a-8 Classes of Securities under this Title
Investment Company Act of 1940
Section 2(a)(37) General Definitions
Rule 12b-1 Distribution of Shares by Registered Open-End Management Investment
Company
2.4: Provides explanations to customers regarding how economic events and investment risk
factors may impact investments
Knowledge of:
Investment risk factors (e.g.- call- capital- credit- currency- inflationary- interest rate- liquidity-
market (systematic- non-systematic)- social and political- pre-payment- reinvestment- timing)
Concept of risk/reward and the effects of diversification
Types of investment strategies
Sources of market and investment information (e.g.- news outlets- internet- rating agencies-
research reports) and economic factors (e.g.- inflation- deflation- monetary policy- economic policy)
The role of the Federal Reserve Board
Changing interest rates and the effect on money supply- fiscal policy- federal taxation and spending
International economic factors (e.g.- currency exchange rates- balance of trade- gross domestic
product (GDP))

FUNCTION 3 Opens- maintains- transfers and closes accounts and
retains appropriate account records
3.1: Provides information and disclosures to customers regarding various account types-
characteristics- and restrictions
Knowledge of:
Account registration types (e.g.- individual- JTWROS- UGMA)
Distribution elections (e.g.- cash- reinvestment)
3.2: Obtains and updates customer information and documentation necessary to open- maintain-
and close the account
Knowledge of:
Customer screening (e.g.- Customer Identification Program (CIP)- determining whether a customer
is an associated person of another broker-dealer)
Account authorizations and legal documents (e.g.- power of attorney- authorized account user-
discretionary accounts- Transfer on Death (TOD)- beneficiary forms)
Recordkeeping (e.g.- retention of customer and firm-related records)
Customer account record maintenance (e.g.- update personal information- holding of customer
mail- sending required SEC Rule 17a-3 notifications)
Transferring customer accounts between broker-dealers (e.g.- Automated Customer Account
Transfer Service (ACATS))
Account registration changes and internal transfers (e.g.- TOD- divorce)
Delivery of annual reports and notices of corporate actions (e.g.- proxy statements)
FINRA Rules
2090 Know Your Customer
2251 Forwarding of Proxy and Other Issuer-Related Materials
2267 Investor Education and Protection
3150 Holding of Customer Mail
3250 Designation of Accounts
4510 Series Books and Records Requirements
11870 Customer Account Transfer Contracts
NASD Rules
2510 Discretionary Accounts
Securities Exchange Act of 1934
Rule 17a-3 Records to Be Made by Certain Exchange Members- Brokers and Dealers
Rule 17a-3(a)(9) Customer Account Information
Rule 17a-3(a)(17) Customer Account Records and Updates
Rule 17a-4 Records to Be Preserved by Certain Exchange Members- Brokers and
Dealers
Rule 17a-4(b)(6) Records relating to discretionary authority
Rule 17a-8 Financial Recordkeeping and Reporting of Currency and Foreign
Transactions
Regulation S-P Privacy of Customer Financial Information and Safeguarding Personal
Information
USA PATRIOT Act
Section 326 Customer Identification Programs
3.3: Identifies and responds appropriately to suspicious customer account activity for the life of
an account
Knowledge of:
Anti-Money Laundering (AML) compliance procedures- program- and reporting (e.g.- Bank Secrecy
Act (BSA)- Office of Foreign Asset Control (OFAC) Specially Designated Nationals (SDN) list-
Currency Transactions Reports (CTRs)- Customer Identification Program (CIP)- Suspicious Activity
Reports (SARs))
Circumstances for notifying FinCEN or refusing or restricting activity in an account and/or closing
accounts
FINRA Rule
3310 Anti-Money Laundering Compliance Program
USA PATRIOT Act
Section 314 Cooperative Efforts to Deter Money Laundering
Section 352 Anti-Money Laundering Programs

FUNCTION 4 Obtains- verifies- and confirms customer purchase and sale
instructions
4.1: Verifies- enters and monitors orders in accordance with customers instructions and
regulatory requirements and reports trade executions to customers
Knowledge of:
Cash accounts (e.g.- prompt payment for securities purchased- extension of time- frozen accounts)
Market terms (e.g.- trade date- settlement date- ex-dividend date)
Delivery requirements and settlement of transactions
Trade execution activities (e.g.- market timing- late trading- prompt payment for securities
purchased- extension of time- frozen accounts- prohibition on arranging loans for others)
Information required on an order ticket
Sharing of referral fees and commissions
Confirmations and account statements
FINRA Rules
2232 Customer Confirmations
4510 Books and Records Requirements
4514 Authorization Records for Negotiable Instruments Drawn From a Customers
Account
4515 Approval and Documentation of Changes in Account Name or Designation
5310 Best Execution and Interpositioning
11860 COD Orders
NASD Rules
2340 Customer Account Statements
Securities Exchange Act of 1934
Section 17 Accounts and Records- Reports- Examinations of Exchanges- Members- and
Others
Rule 10b-10 Confirmation of Transactions
Rule 17a-3(a)(6) and (a)(7) Order Tickets and Memoranda of Purchases and Sales
Rule 17a-3(a)(19) Records to Be Made by Certain Exchange Members- Brokers and
Dealers
Federal Reserve Board
Regulation T Credit by Brokers and Dealers
4.2: Informs the appropriate supervisor and assists in the resolution of trade discrepancies-
possible errors- disputes- and complaints
Knowledge of:
Customer complaint procedures
Arbitration procedures
Investigations and sanctions
FINRA Rules
2080 Obtaining an Order of Expungement of Customer Dispute Information from the
Central Registration Depository (CRD) System
3110 Supervision
4513 Records of Written Customer Complaints
4530 Reporting Requirements
8000 Series Investigations and Sanctions
9000 Series Code of Procedure
12000 Series Code of Arbitration Procedure for Customer Disputes
13000 Series Code of Arbitration Procedure for Industry Disputes
14000 Series Mediation Ground Rules



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how to put together For a 2nd Interview, Plus 50 second Interview inquiries to apply in develop | Series6 Latest Questions and Free PDF

Hurray! You interviewed for a job position and also you’ve just acquired a name lower back for a further round. This usually capacity that you just’re one step closer to getting that job offer—even if it’s your dream job, a work-at-domestic job or a component-time job you’re enthusiastic about.

Celebrations are in order now that you’ve made it via circular 1 and answered all your prospective enterprise’s first interview questions smartly, however bear in mind that 2d interviews are constantly a little distinctive from the first go around. This time, you can also end up sitting across from the business’s senior managers, and they will probably have extra in-depth 2d interview questions for you.

The second interview is mostly concentrated on no matter if you can be a fit for each the job function and the business. This interview could be greater very own and tailored to understand more about you, so knowing the way to put together for a 2nd interview will help you make a fine affect.

With a second interview coming near, here are one of the vital premier methods that you would be able to prep for it. 

5 things to Do before Your 2nd Interview

1. research the enterprise and the interviewer.

whereas shopping the company web page, locate particulars about their historical past, mission and goals, then be certain you align your solutions in a method that conveys your aptitude for both the job specifics and the corporation.

just like how the company obviously looked over your profile on Linkedin or combed meticulously through your resume, you need to do the equal with the company and even the interviewer, as neatly. It is key that you just understand what type of company that you simply may work for and in the event that they, in turn, fit together with your career values and morals.

getting to know the interviewer also offers you greater history into their position in the company. that you may use this analysis and bring it up as part of your personal sequence of questions later on in the interview manner (which they will touch on later).

2. analysis the general salary latitude for the job and choose the way to answer that query if it comes up. 

Answering questions about salary may also be a bit of a taboo from the interviewee’s viewpoint, at the least that’s what we’ve been taught, but it surely doesn’t must be. answer questions about revenue through being frank and honest.

Use sites like Glassdoor to research the latitude for normal salaries on your job title, trade and event degree. all over the 2d interview manner, be sure to assert that you are open to discussing more than a few salary it truly is relatively in line with your skillset.

three. follow answering interview questions in the replicate. 

You get an excellent study your personal inflections and physique language by way of looking at your self. by working towards within the mirror, you could get a primary-hand gauge on which answers you can be stumbling on and need to work through, your posture, and your eye contact.

4. Make a list of your good questions concerning the job/etc. 

it is paramount that you come to the 2d interview prepared with any questions that you've got in your competencies organisation. Don’t be shy, both! here's the time that they truly are looking to hear from you. now not to mention, asking insightful, follow-up interview questions is a fine technique to express interest in the position. consider making priority the recommendations or issues that may additionally have come up for you all through your first interview. moreover, consider about specifics concerned within the function that you just may additionally wish to recognize earlier than you accept the role.

5. prevent being too stiff—just be your self!

make certain that you just come to the interview secure. They referred to as you lower back in for a second interview, so likelihood is, they in reality like what they saw within the first interview and are seriously given that hiring you for this position. unlock any anxiety on your shoulders, grasp her head regular and keep steady eye contact.

Questions an service provider may Ask all over a second Interview 

each interviewer is diverse and their questions may additionally range counting on which position they are hiring for, so there isn't any certain approach of understanding which exact questions they're going to ask you.

via making ready answers for the below average interview questions, youngsters, that you may Excellerate attractive talking features to make one final first-rate impact during the 2d interview. listed here are one of the crucial usual questions that interviewers may ask all the way through the second interview.

1. What’s your most beneficial work ambiance?

2. Which management vogue do you discover to be probably the most positive for you?

3. What were you aware about this company?

four. What has been probably the most difficult decision you’ve needed to make in a previous function?

5. can you inform me about a exact impediment you overcame?

6. What work accomplishment are you the proudest of and why?

7. Why are you the premiere candidate for this job?

eight. How would you describe your ultimate relationships at work? How concerning the worst?

9. What are your strengths, and what areas do you want improvement?

10. What are your brief and long-time period goals, and the way does this place healthy into them?

eleven. if you received this job, what are probably the most first belongings you would do in this function?

12. What types of challenges do you hope to handle in this position?

13. can you share a selected illustration of a time when a task’s priorities changed all of sudden and also you had to adapt?

14. have you ever ever labored on a assignment that didn’t prove as deliberate?

15. What attributes do you think you’d deliver to the group?

16. What’s your commonplace function should you’re in a teamwork environment?

17. How do you manipulate your time in the event you’re assigned distinctive initiatives with the identical deadline?

18. How do you're making choices?

19. What are your revenue expectations for this role?

20. Why do you need to work for this business?

21. on your own words, what do you consider their business’s leading mission is?

22. can you describe at the least one circumstance by which you have been in a position to use persuasion to efficiently convince a person?

23. What are the belongings you like about your current job? How concerning the stuff you dislike?

24. are you able to describe your surest manager?

25. In neighborhood settings, are you more of a pacesetter or a follower?

questions to Ask the Interviewer all the way through Your second Interview

earlier than you go in on your second interview, it is crucial that you simply prepare to ask thoughtful and in-depth questions to your interviewer(s). when you've got any lingering questions from the primary interview, now could be your probability to ask them.

in addition, if you’ve performed your research to your genuine interviewer, now would also be a pretty good time to prefer their brain about their roles, and even discover what they like in regards to the firm from the point of view of a person who already works there. this may assist offer you a gauge of how the personnel feel within their own roles and any guidance that they can provide to any freshmen.

under are some questions you could want to ask your interviewer during your second interview. be certain to pace your self and not rush through them.

26. What challenges did the ultimate grownup during this place face?

27. what number of employees are on the crew/in this branch?

28. How would you describe your administration style?

29. What’s a standard day like within the office?

30. What traits do you consider are required to succeed in this place?

31. What criteria do you use to select candidates for interviews?

32. When would you love me to beginning, if I were to get hold of a job offer for this place?

33. What increase alternatives can be found in this position?

34. How regularly do individuals typically dwell in this place?

35. What benefits (medical insurance, 401k, etc.) are offered to employees?

36. How is efficiency measured in this enterprise?

37. How a whole lot travel does this position require?

38. In the following 30, 60, and 90 days, what does success appear to be during this position?

39. Does this place qualify for overtime pay, if necessary?

forty. What do you love most about working at this enterprise?

41. How does the administration provide feedback to employees?

42. What are the average work hours for this place?

43. Who would the adult in this job collaborate with/work most closely with?

44. Who had this role earlier than, and why did they depart?

forty five. What sort of have an impact on do you consider somebody during this place may additionally have on the business?

forty six. How does this company tackle discrimination considerations, and have you ever encountered any on this team?

forty seven. What other projects now not mentioned within the job description may still somebody in this position predict to perform?

forty eight. What opportunities for skilled construction can be found with this business?

49. Will I be anticipated to keep up with my emails over the weekend or whereas on holiday?

50. Do my revenue expectations align with yours for this position?

check out…25 choicest Jobs for Introverts100 humorous Work Quotes6 questions to Ask in a Job InterviewHow to Get a Job at DoorDashHow to Get a Job at Walmart




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