Account Types & Regulations

Traditional IRA vs. Roth IRA Traditional: Tax-deductible contributions, taxed withdrawals. Roth: Tax-free withdrawals, non-deductible contributions.

401(k) Plans: Employer-sponsored retirement accounts with tax-deferred growth. Custodial Accounts (UGMA/UTMA): Accounts set up for minors. Margin Accounts: Allow borrowing funds to purchase securities (Reg T).

Key Ratios & Formulas

Net Asset Value (NAV) = (Total Assets - Total Liabilities) / Shares Outstanding Yield = (Annual Dividend / Market Price) x 100 Expense Ratio = Fund Expenses / Average Assets Under Management Total Return series 6 dump sheet = (Dividends + Capital Gains) / Initial Investment

Series 6 Exam Tips for Success

Master the FINRA Rules & Regulations

Understanding compliance regulations is crucial for passing the Series 6 exam. Focus on: Suitability requirements Advertising & communication rules Anti-money laundering (AML) policies Handling customer complaints

Learn Key Investment Concepts

Study mutual fund structures, share classes (A, B, C), and sales charges. Understand tax implications of investment vehicles. Know the differences between open-end and closed-end funds.

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