Series 6 – What to Review Before Your Next Attempt

🔁 Series 6 – What to Review Before Your Next Attempt

Didn’t pass the Series 6 Exam on your first try? You’re not alone—and the key to success on your next attempt is reviewing the right areas, not just starting over from scratch. Use this focused guide to identify weak points, rebuild confidence, and turn your second (or third) attempt into a passing score.

📊 Analyze Your Score Report

Start by breaking down your performance across FINRA’s four content sections:

✅ Prioritize areas where your score fell below 70%
✅ Revisit missed topics using scenario-based questions, not just definitions

🧠 Top Topics to Review Before Your Retake

1. Mutual Fund Suitability

• Differences between A, B, and C share classes
• Sales charge structures and breakpoints
• When to recommend each class based on holding period and investment size

2. Variable Annuities

• Surrender periods, fees, and suitability concerns
• Tax implications for early withdrawals
• Subaccount performance vs. guaranteed benefits

3. Customer Account Types and Documentation

• UTMA/UGMA, TOD, joint accounts
• Required documents to open accounts
• Trusted contact person rules and suitability across account types

4. Communication and Disclosure Rules

• Difference between advertising and correspondence
• What must be approved by a principal
• Performance guarantees and what’s prohibited in marketing materials

5. Regulatory Bodies and Rules

• SEC, FINRA, and state regulator responsibilities
• Prospectus delivery rules
• Anti-fraud provisions of the Securities Act of 1933
• Know the key features of the Investment Company Act of 1940

📝 Retake Strategy That Works

✅ Step 1: Take a Full-Length Diagnostic

• Time yourself
• Simulate test conditions
• Focus on why you got questions wrong

✅ Step 2: Build a Topic-Driven Review Plan

• Use flashcards for laws and definitions
• Practice case studies for suitability
• Read explanations—even for questions you answered correctly

✅ Step 3: Rebuild Confidence

• Use short quizzes to check understanding
• Track improvement by topic
• Focus on progress, not perfection

🧪 Sample Recovery Question

A client wants tax-deferred growth and is comfortable locking up money for 10+ years. Which is most appropriate?

A. Class A mutual fund
B. Variable annuity
C. Municipal bond fund
D. Money market fund

Correct Answer: B. Variable annuity
Explanation: Long time horizon + desire for tax deferral fits the annuity. The other options are either taxable or better for short-term needs.

🚀 Prepare Smarter This Time

Retaking the Series 6 is your chance to fix what didn’t work—and focus on what matters most. With the right tools and study structure, your next attempt can be your last.

👉 Access Full Series 6 Study Tools and Practice Exams

Review smarter. Retake stronger. Pass with confidence.