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Series 6

Resources

FINRA Series 6 resources

Dump sheet: Suitability (front)

Dump sheet: Suitability (front)

Quick reference sheet ("cheat sheet") for the Series 6 covering suitability (front).

Dump sheet: Suitability (back)

Dump sheet: Suitability (back)

Quick reference sheet ("cheat sheet") for the Series 6 covering suitability (back).

Dump sheet: Regulators, laws, rules (front)

Dump sheet: Regulators, laws, rules (front)

Quick reference sheet ("cheat sheet") for the Series 6 covering regulators, laws and rules (front).

Dump sheet: Regulators, laws, rules (back)

Dump sheet: Regulators, laws, rules (back)

Quick reference sheet ("cheat sheet") for the Series 6 covering regulators, laws and rules (back).

Dump sheet: Product characteristics, BRTI (front)

Dump sheet: Product characteristics, BRTI (front)

Quick reference sheet ("cheat sheet") for the Series 6 covering product characteristics and BRTI (front).

Dump sheet: Product characteristics, BRTI (back)

Dump sheet: Product characteristics, BRTI (back)

Quick reference sheet ("cheat sheet") for the Series 6 covering product characteristics and BRTI (back).

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Video library

What is common stock?

What is common stock?

Common stock represents partial ownership in a company, profiting through capital appreciation or cash dividends, as seen with Netflix and McDonald's shares.

Negotiable and redeemable

Negotiable and redeemable

Negotiable securities like stocks and bonds trade between investors at market price with commissions, while redeemable ones like mutual funds trade directly with the issuer at net asset value with sales charges.

Systematic vs non-systematic risk

Systematic vs non-systematic risk

Works through a practice question contrasting market risk, which hits the whole market and can't be diversified away, with financial, business, and liquidity risk, which hit specific companies and can be.

Call protection

Call protection

Walks through a practice question on a callable bond with three call dates and premiums, showing that call protection is simply the earliest date the issuer can call, ignoring the other numbers given.

Bond volatility & stability

Bond volatility & stability

Bond price swings most with long maturities and low coupons, and stays stable with short maturities and high coupons, shown through a practice question comparing four bonds including a zero-coupon strip.

Long call basics

Long call basics

A long call quote is broken into its parts, showing how strike price, expiration and premium set the right to buy 100 shares. The call up put down rule splits that premium into intrinsic value and time value.

Short call basics

Short call basics

Selling a call obligates the seller to sell 100 shares at the strike price, while the premium splits into intrinsic and time value via the call up rule.

Long put basics

Long put basics

A long put quote shows the right to sell stock at a strike price, then its premium is split into intrinsic and time value using call up put down.

Short put basics

Short put basics

A short put quote is decoded piece by piece, showing why selling it obligates the seller to buy stock at the strike price. The 'call up, put down' rule splits the premium into intrinsic and time value.

Agency vs. principal

Agency vs. principal

Agency trades connect buyers and sellers for a commission, while principal (dealer) trades fill orders from the firm's own inventory with a markup or markdown.

Total return divides dividends, interest, and capital appreciation by the original investment, worked through a question that filters out an irrelevant CPI figure.

After-tax return

After-tax return

Works through a fund investment example to calculate after-tax return, applying tax rates to qualified dividends and a long-term capital gain before dividing by the original basis.

Intrinsic value (calls)

Intrinsic value (calls)

A 70 call worth $5 when the market hits 75 shows the call up rule, and premium splits into intrinsic plus time value; good for longs, bad for short sellers.

Intrinsic value (puts)

Intrinsic value (puts)

Puts gain intrinsic value as market price falls below strike price (put down), distinct from premium; an example computes the resulting gain or loss.

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