Series 6
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Introduction
1. Common stock
2. Preferred stock
3. Debt securities
4. Corporate debt
5. Municipal debt
6. US government debt
7. Investment companies
8. Insurance products
9. The primary market
10. The secondary market
11. Brokerage accounts
12. Retirement & education plans
13. Rules & ethics
13.1 The regulators
13.2 Public communications
13.3 Social media
13.4 Regulation BI
13.5 Registered representative rules
13.6 Regulation S-P
13.7 Protecting vulnerable investors
13.8 Restitution & penalties
13.9 Recordkeeping requirements
14. Suitability
Wrapping up
13.7 Protecting vulnerable investors
