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Title: Series 6 Dump Sheet – Clear the Exam in One Go! [Print this page]

Author: loneholt Time: Yesterday 19:15
Title: Series 6 Dump Sheet – Clear the Exam in One Go!
Key Information for Your Series 6 Dump Sheet Securities and Investment Products

· Mutual Funds:Open-end investment funds with diversification and professional management.

· Variable Annuities:Insurance contracts with investment options that fluctuate based on marketperformance.

· UITs (UnitInvestment Trusts): Fixed portfolio of securities with a settermination date.

Securities Laws & Regulations

· Securities Act of1933 – Regulates new securities issues.

· Securities ExchangeAct of 1934 – Governs trading markets and broker-dealers.

· Investment CompanyAct of 1940 – Regulates mutual funds and investment companies.

· FINRA Rules– Includes suitability, series 6 dumpsheet communication, and ethical practices.

Suitability & CustomerRecommendations

· Know Your Customer(KYC) – Assess financial status, investment goals, risk tolerance.

· SuitabilityRequirements:

o Conservative: Bonds, fixedannuities.

o Moderate: Balanced funds,dividend stocks.

o Aggressive: Growth stocks,high-yield bonds.

Sales Practices & EthicalConsiderations

· ProhibitedPractices:

o Churning – Excessivetrading for commissions.

o Unauthorized Transactions –Executing trades without client consent.

o Misrepresentation –Providing misleading investment details.

Taxation of Investment Products

· Capital Gains– Profits from selling investments.

· Dividends– Taxed at ordinary or qualified rates.

· Tax-Deferred Growth– Earnings grow tax-free until withdrawal (e.g., IRAs, annuities).

Key Formulas

· NAV (Net AssetValue) Calculation:

o NAV = (Total Assets –Liabilities) / Shares Outstanding

· Yield Formula:

o Current Yield = AnnualDividend / Market Price

· Price-EarningsRatio:

o P/E Ratio = Stock Price /Earnings Per Share (EPS)

Effective Study Tips for Series 6 Exam Success

1. Create a Study Schedule – Allocate time to eachtopic and stick to a routine.

2. Use Multiple Resources – Rely on textbooks, onlinecourses, and Series 6 dump sheets.

3. Practice with Mock Exams – Simulate testconditions to improve time management.

4. Join Study Groups – Engage in discussions forbetter understanding.

5. Review & Revise Regularly – Repetitionhelps reinforce concepts.

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