Series 6 Dump Sheet – Clear the Exam in One Go!

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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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