16. Appendices

In this section

• Series 6 Exam Key Terms Glossary: Comprehensive Guide
  Explore the essential glossary of key terms for the Series 6 Exam, covering investment company and variable contracts products. Enhance your understanding of securities industry concepts with clear definitions and practical examples.
• Key Financial Formulas for Series 6 Exam Success
  Master essential financial formulas for the Series 6 Exam, including NAV, current yield, YTM, and TVM. Learn their applications and intricacies with examples and practice problems.
• 16.3 Regulatory Summaries
  • Major Securities Acts: Comprehensive Overview for Series 6 Exam
    Master the key provisions of major securities legislation including the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and Investment Advisers Act of 1940. Essential for Series 6 Exam success.
  • FINRA Rules Overview
    Comprehensive guide to understanding key FINRA rules including Rule 2010, Rule 2111, Rule 2210, Rule 3110, and Rule 4512 for Series 6 Exam preparation.
• 16.4 Quick Reference Charts and Tables
  • Tax Rates and Contribution Limits
    Comprehensive guide to understanding current tax rates and contribution limits for retirement and education savings accounts, crucial for Series 6 Exam preparation.
  • Investment Product Comparison: Mutual Funds, ETFs, and Variable Annuities
    Compare investment products like mutual funds, ETFs, and variable annuities to understand their features, benefits, risks, and suitability for different investors.
• 16.5 Resources for Further Study
  • Recommended Reading for Series 6 Exam Mastery
    Explore a curated list of authoritative texts, publications, and resources to enhance your understanding of the Series 6 Exam topics, including investment company and variable contracts products.
  • Online Resources and Tools for Series 6 Exam Preparation
    Explore essential online resources and tools to master the Series 6 Exam, including FINRA updates, SEC filings, educational platforms, and financial calculators.
• 16.6 Contact Information for Regulators
  • FINRA: Comprehensive Guide to Contacting and Utilizing FINRA Resources
    Explore comprehensive contact information and resources for FINRA, the Financial Industry Regulatory Authority. Learn how to file complaints, report concerns, and stay connected with industry regulatory bodies.
  • SEC: Comprehensive Guide to the Securities and Exchange Commission
    Explore the Securities and Exchange Commission (SEC) in detail, including its contact information, resources for investor education, and tips for filing. Learn how to access official rules and regulations and monitor SEC announcements for compliance in the securities industry.
  • MSRB: Municipal Securities Rulemaking Board Overview and Resources
    Explore the Municipal Securities Rulemaking Board (MSRB) and its role in the regulation of municipal securities. Learn about the resources available through MSRB, including the EMMA platform, and how to stay informed on compliance updates and leverage educational materials for professional development.