Study for the Series 6 Exam

  The Series 6 Exam covers SEC Rules including Regulation S-P on the privacy of consumer financial information and the safeguarding of customers' personal information. FINRA specifically lists Regulation S-P in its Series 6 Content Outline in Section 2.2. Recently the SEC has amended Regulation S-P "to  address the expanded use of technology and corresponding risks that have emerged since the Commission originally adopted Regulation S-P in 2000."  The amendments cover situations where computer hackers unlawfully view, copy or steal  a firm's customer accounts records . Brokerage and advisory firms, including mutual fund firms, are required to detail steps in writing to be taken when a brokerage firm suffers such a break-in. Firms must also report such events to the SEC as soon as possible, but no later than 30 days of occurrence. Furthermore, firms must notify customers whose accounts are, or reasonably likely to be, among those breached or stolen. Here's how the ...

      If you intend to sit for the Series 6 Exam, make sure that you are familiar with securities in the Money Market and the Capital Markets. The Money Market means the market for short-term debt securities, such as T Bills, commercial paper, brokered certificates of deposit, and bankers acceptances. In contrast the Capital Markets designate the markets for long-term debt and equity securities. FINRA publishes a Content Outline for the Series 6 Exam, and in Section 3.2, FINRA requires  knowledge of Treasury securities, other money market instruments, and U.S. government agency securities. Bob Eder in his Study for the Series 6 Exam devotes Chapter 7 to  Equity Securities, Debt Securities, Options, Treasury Securities, U.S. Agency Securities, Money Market Instruments, Corporate Debt, and Money Market Instruments.  Study for the  Series 6  Exam  is available from Amazon in both paperback and Kindle e-book versions.  Here is the link...