Top Off Exams

Series 6

Investment Company and Variable Contracts Products Representative Qualification Exam 

Module 1: Communication with Clients and Potential Clients

               1.1 Promotional and Advertising Materials (4)

                1.2 Solicitation of Investment Products (5)           

Module 2: Client Account Set Up and Maintenance

                2.1 Types of Accounts (6)

                2.2 Client Information (3)            

                2.3 Client Profile (5)

                2.4 Supervisory Approval (3)

Module 3: Client Meetings, Information Sharing, Recommendations, Transfers, and Record Retention

                3.1 Investment Strategy (5)

                3.2 Suitability (7)

                3.3 Disclosures (6)

                3.4 Communication and Record Retention (5)

Module 4: Client Transactions

               4.1 Current Quotes (3)

                4.2 Client Transactions (3)

                4.3 Discrepancies, Disputes, Errors, and Complaints (4)

Series 7

General Securities Representative Qualification Exam

Module 1: Communication with Clients and Potential Clients
    1.1 Promotional and Advertising Materials (4)
    1.2 Solicitation of Investment Products (15)    
Module 2: Client Account Set Up and Maintenance 
    2.1 Types of Accounts (6)
    2.2 Client Information (3)    
    2.3 Client Profile (6)
    2.4 Supervisory Approval (3)
Module 3: Client Meetings, Information Sharing, Recommendations, Transfers, and Record Retention
    3.1 Investment Strategy (8)
    3.2 Suitability (10)
    3.3 Disclosures (9)
    3.4 Communication and Record Retention (7)
Module 4: Client Transactions
    4.1 Current Quotes (7)
    4.2 Client Transactions (7)
    4.3 Discrepancies, Disputes, Errors, and Complaints (4)
    4.4 Margin Transactions (7)