Investment Company and Variable Contracts Products Qualification Exam Course (Paperback) (ISBN-13: 9781726300582)

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.

Author: Securities and Insuran For Exam Success
ISBN-10: 1726300587
ISBN-13: 9781726300582
Publisher: Createspace Independent Publishing Platform
Language: English
Published: 08/27/2018
Pages: 250
Format: Paperback
Weight: 1.30lbs
Size: 11.00h x 8.50w x 0.53d