Comprehensive Coverage: Covers all the essential topics tested in the exam. Easy to Understand: Simplifies complex concepts into digestible notes. Time-Saving: Helps you focus on high-yield information without unnecessary details. Updated Content: Regularly revised to align with the latest exam series 6 dump sheet format. Boosts Retention: Aids memory recall through key terms, formulas, and definitions.
Key Topics Covered in the Series 6 Dump Sheet
Regulatory Framework and Ethical Considerations
FINRA Rules and Regulations Securities Act of 1933 and 1934 Investment Company Act of 1940 Anti-Money Laundering (AML) Rules Know Your Customer (KYC) and Suitability Standards Ethical Considerations and Prohibited Practices
Investment Products and Features
Mutual Funds (Open-End Funds) Load vs. No-Load Funds Share Classes (A, B, C) NAV (Net Asset Value) Calculation Variable Annuities Fixed vs. Variable Contracts Accumulation vs. Annuity Phase Surrender Charges and Tax Treatment UITs (Unit Investment Trusts) REITs (Real Estate Investment Trusts) 529 Plans and Education Savings Accounts
