$10 · instant PDF download (link also emailed)

For new reps who will sell mutual funds, variable annuities, variable life, and 529 plans and need the Series 6 alongside the SIE.

Covers the current FINRA Series 6 exam outline · Written and maintained by Todd Lavergne, Todd Lavergne Media · Last updated Oct 2026

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The Series 6 is short (50 scored items) but picky: share classes, breakpoints, annuity rules, and communications. Small rule mix-ups cost the most points.

Lessons that follow FINRA’s job-function outline
80 original practice questions with answers and short explanations
Sales-charge math, share classes, and breakpoint rules explained plainly
Cheat sheet plus 4- and 8-week study plans
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Sample questions & answers

Short previews from this guide (not the full book):

Sample Q16. NAV $9.40, POP $10.00. Sales charge percentage?

Answer: B — 6.0%

$0.60 ÷ $10.00 = 6.0%.

Sample Q21. A customer plans to invest $40,000 over the next year; the breakpoint is $50,000. The rep should:

Answer: B — Tell her about a letter of intent

Disclosing the LOI could earn the lower charge; the others are breakpoint-sale problems.

Sample Q37. Under FINRA Rule 2330, a principal must review a deferred VA application within:

Answer: C — 7 business days

Seven business days after receiving it in good order.

What’s not included

Not a live class, not a video course, and not a promise you will pass. Exam facts are dated October 2026 and cited to official sources inside; always confirm current details with the official exam body before you book.

Disclaimer: an independent PDF study aid, not affiliated with or endorsed by FINRA. All practice questions are original.

Free sample: 5 questions from the guide

Taken straight from the Series 6 guide. Try each one, then tap “Show answer.”

A rep posts a blog article visible to the public on the firm's website. It is a:
- A) Correspondence
- B) Retail communication
- C) Institutional communication
- D) Private communication
Show answer
Answer: B — Public website content reaches more than 25 retail investors.
A participant withdraws from a SIMPLE IRA in the first year of participation, age 40. The penalty is:
- A) 0%
- B) 10%
- C) 20%
- D) 25%
Show answer
Answer: D — 25% in the first two years.
A letter of intent can be backdated:
- A) 30 days
- B) 60 days
- C) 90 days
- D) 1 year
Show answer
Answer: C — Up to 90 days.
The investment risk in a variable annuity's separate account is borne by:
- A) The insurer
- B) The contract owner
- C) FINRA
- D) The state guaranty fund
Show answer
Answer: B — That's why it's a security.
100 shares at $20 plus 300 shares at $24. Average cost per share?
- A) $22
- B) $23
- C) $24
- D) $21
Show answer
Answer: B — $9,200 ÷ 400.

Practice questions are original teaching items, not real exam questions. Independent study aid; not affiliated with or endorsed by the exam provider.

Using a full prep program such as Achievable? This $10 guide is a low-cost add-on: a compact outline review plus original practice questions with explanations for extra reps before test day.

Buy now — $10 ↓

Ready when you are.