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SR-FINRA-2018-007

Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Investment Company and Variable Contracts Products Representative (Series 6) examination as part of the restructuring of the representative-level examination program. The proposed revisions also update the material to reflect changes to the laws, rules and regulations covered by the examination. In addition, FINRA is proposing to make changes to the format of the content outline. FINRA is not proposing any textual changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 893.64 KB
Notice of Filing and Immediate Effectiveness PDF - 228.19 KB