Investment Company and Variable Contracts Products Qualification Exam Course - Paperback >
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Investment Company and Variable Contracts Products Qualification Exam Course - Paperback

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by Securities and Insuran For Exam Success (Author)

About the Investment Company and Variable Contracts Products Qualification Exam (Series 6) The Series 6 is designed to test candidates entering the securities industry in four major topic areas: Function 1. Seeks Business for the Broker-Dealer from Customers and Potential Customers (12 Final Exam Questions); Function 2. Opens Accounts After Obtaining and Evaluating Customers' Financial Profile and Investment Objectives (8 Final Exam Questions); Function 3. Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records (25 Final Exam Questions); and, Function 4. Obtains and Verifies Customers' Purchase and Sales Instructions; Processes, Completes and Confirms Transactions (5 Final Exam Questions). The information is presented (along with a total of 50 sample multiple-choice questions throughout the four function areas) to prepare you for the top-up exam, beginning October 1, 2018.

Number of Pages: 250
Dimensions: 0.53 x 11 x 8.5 IN
Publication Date: August 27, 2018
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