Series 6 Training
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This document provides an overview of key topics covered in a Series 6 exam cram course, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, types of investment companies, criteria for open-end and closed-end funds, fund operations, types of funds, sales literature regulations, types of variable contracts, and types of accounts.
Series 6 Training
- 1. Series 6 8 Hour Cram Course
- 2. Securities Act of 1933
- 3. 1933 = Paper Registration Statement Investment Banker 55 Day Timeline
- 4. Securities Exchange Act of 1934
- 5. 34 = People Broker/Dealer Agent Investment Adviser Investment Adviser Rep
- 6. Investment Advisers Act of 1940
- 7. Investment Company Act of 1940
- 8. Investment Companies UIT FAC Management Companies Separate Account
- 9. Open vs. Closed 75/5/10 80% 90% 3 to 1 1/2 of 1%
- 10. Fund Operation Board Custodian Transfer Agent Fund Advisor
- 11. Types of Funds Objectives Policies Loads
- 13. Variables VA VL VUL
- 14. Types of Accounts JTIC JTWROS Trust UGMA/UTMA