1379 位客戶反饋 Series6 考試範圍廣、題型靈活，不少考生第一次應考都低估了它的難度。KaoGuTi 的 FINRA Investment Company and Variable Contracts Products Representative Examination (IR) 題庫依據最新考試內容整理 325 道模擬試題，幫你提前熟悉出題方式。
FINRA Series6 考試概覽:
| 認證廠商: | FINRA |
|---|---|
| 考試名稱: | 投資公司及可變合約產品代表考試 (IR) - Series 6 |
| 考試代碼: | Series 6 |
| 考試時間: | 90 分鐘 |
| 支援語言: | English |
| 考試費用: | USD 75 |
| 相關認證: | SIE (Securities Industry Essentials) Series 6 Top-Off |
| 證照有效期限: | 無固定有效期限；只要維持在 FINRA 會員機構的註冊狀態即有效 |
| 考試形式: | Multiple Choice |
| 實際考試題數: | 55 (50 題計分，5 題不計分) |
| 及格分數: | 70% |
| 推薦課程: | FINRA 資格考試概述 |
| 考試報名: | FINRA Series 6 考試註冊 |
| 範例考題: |  |
| 考試方式: | 在授權的測試中心 (Prometric) 進行電腦化測驗，或在可行情況下進行遠端監考 |
| 必備條件: | 須由 FINRA 會員機構擔保；通常需要先取得 SIE 資格，或在註冊 Series 6 的同時或之前報考 SIE |
| 官方大綱網址: | https://www.finra.org/registration-exams-ce/qualification-exams/series6 |
FINRA Series6 考試大綱主題:
| 章節 | 權重 | 目標 |
|---|---|---|
| 在獲取並評估客戶財務狀況後為其開立帳戶 | 16% | - 客戶帳戶類型與文件
|
| 向客戶提供投資相關資訊 | 50% | - 投資公司證券與可變合約
|
| 獲取並確認客戶的買賣指令 | 10% | - 訂單處理與交易程序
|
| 為經紀自營商向客戶及潛在客戶爭取業務 | 24% | - 客戶開發與溝通
|
關於 Series6 考試，考生最常問的問題
Series6 是由 FINRA 推出的認證考試，正式名稱為「投資公司及可變合約產品代表考試 (IR) - Series 6」，通過後即可取得 投資公司及可變合約產品代表 認證。此認證屬於 代表級 等級，主要用來驗證考生在相關技術領域的專業能力，對求職與升遷都有實質幫助。與本考試相關的認證還包括 Series 6 Top-Off、SIE (Securities Industry Essentials)，可依個人職涯規劃逐步進修。若你正準備報考 Series6，KaoGuTi 的練習題能幫助你更快掌握考試重點。
Series6 考試的題量為 55 (50 題計分，5 題不計分) 題，考試時間為 90 分鐘。在有限的作答時間內，每題能停留的時間其實不多，答題節奏的掌握格外重要。建議作答時不要在單一題目上糾結過久，遇到不確定的題目先標記起來，全部答完再回頭檢查。考前不妨使用 KaoGuTi 的模擬試題進行幾次限時練習，實際體驗在 90 分鐘 內完成作答的節奏感，正式上場時時間分配會更有把握。
Series6 考試的及格分數為 70%，官方報名費為 USD 75。需要留意的是，若未能一次通過，重考必須再次全額支付報名費，加上等待與重新準備的時間，成本其實不低。建議正式報名前，先以 KaoGuTi 的 325 道練習題完整自我檢測，確認答題表現穩定超過及格標準後再預約考試，避免不必要的重考支出。
須由 FINRA 會員機構擔保；通常需要先取得 SIE 資格，或在註冊 Series 6 的同時或之前報考 SIE 報考條件可能隨官方政策調整，建議報名前再到 FINRA 官方考試頁面 確認最新規定，以免錯過任何變更。
有的，FINRA 官方為 Series6 考試推薦了以下培訓資源：
官方培訓能建立完整的知識架構，若再搭配 KaoGuTi 的 325 道 Series6 練習題反覆演練，就能把課程所學確實轉化為考場上的答題能力。
可以。KaoGuTi 提供 Series6 免費範例試題（Free PDF Demo），內容取自正式題庫，下載後即可實際檢視題目與答案解析的品質，滿意再購買。購買正式版後享有 365 天免費更新，題庫內容會隨考綱調整同步修訂；365 天到期後如需繼續更新，還可享有 50% 的續更折扣。
KaoGuTi 提供退款保證：購買後 60 天內參加 Series6 對應考試而未通過，可申請全額退款。申請時需提交報名證明（准考證／enrollment slip）複印件與官方成績單（Score Report）PDF，並於考後 2 天內提出，我們會在 7 天內處理完成。請注意，購買後 3 天內即參加考試、已下載但未實際應考、免費資料與過期訂單均不適用退款保證，且考生姓名須與付款人姓名一致。若不想退款，也可以選擇免費更換為兩個等值考試資料，並保留原購產品的更新服務。
交付方面，付款完成後系統會在一分鐘內將產品下載連結寄至你的電子郵件信箱，可立即下載開始準備；若 2 小時內未收到，請聯絡客服協助處理。產品不限制安裝的電腦數量，桌機、筆電都能自由使用。
Series6 考試大綱共分為 4 個主要領域，包括：
- 獲取並確認客戶的買賣指令（佔比 10%）
- 為經紀自營商向客戶及潛在客戶爭取業務（佔比 24%）
- 向客戶提供投資相關資訊（佔比 50%）
完整的大綱內容與各領域細項，請參考本頁上方的考試大綱區塊，建議逐條對照自己的熟悉程度，安排複習的優先順序。
最新的 FINRA Certification Series6 免費考試真題：
問題 #1
Jack purchased a new bond of the Candlestick Corporation for its face value of $1,000.The bond has a
coupon rate of 3.5%, makes semiannual interest payments, and matures in fifteen years. A year after
purchasing the bond, Jack needs to sell the bond to offset some major expenses he incurred when his
home caught on fire. Interest rates in the economy at this time have fallen to 3.0%.Given this scenario,
when Jack sells the bond, he can expect to receive which of the following?
A. $965, which is what he paid for the bond less the $35 in interest he received during his year of owning
the bond.
B. less than what he originally paid for the bond.
C. more than what he originally paid for the bond.
D. exactly what he paid for the bond.
問題 #2
Asset allocation involves:
A. determining the percentages that your client should be investing in various types of investments (e.g.,
stocks, bonds) based on his investment objectives.
B. selecting the investments that will expose your client to the least amount of risk.
C. selecting the investments that are expected to offer the highest return over your client's investment
horizon.
D. determining the specific stocks and bonds in which your client should invest his funds.
問題 #3
Mr. and Mrs. R. Retired are planning on traveling extensively throughout the U.S. in their new motor home
now that they have reached their golden years. Under FINRA rules, upon written instructions from Mr. and
Mrs. R. Retired, their broker is required to hold their mail for a maximum of:
A. none of the above. It is Mr. and Mrs. Retired's responsibility to establish a mail-hold through the post
office.
B. 2 months.
C. 3 months.
D. 1 month.
問題 #4
Which of the following persons would not fall under the definition of "investment adviser," under federal
guidelines?
A. an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for
doing so
B. an individual who works as an agent for a broker and occasionally gives investment advice to clients
who request it, but receives no additional compensation for doing so
C. a Denver-based, broker-dealer that is registered as a broker-dealer with the SEC and provides
investment advice to members of the Denver Broncos, the Colorado Rockies, the Denver Nuggets, and
the Colorado Avalanche organizations in exchange for box seats at their games. No monetary
compensation is expected or given.
D. None of the above would fall under the definition of "investment adviser," as defined by the Investment
Advisers Act of 1940.
問題 #5
Commercial paper is:
A. short-term, unsecured debt issued by large corporations.
B. short-term debt that is backed by stocks and bonds that the issuing firm owns.
C. issued with maturities of 1 to 2 years.
D. long-term debt issued by commercial banks.
問題與答案：
| 問題 #1 答案： C | 問題 #2 答案： A | 問題 #3 答案： B | 問題 #4 答案： B | 問題 #5 答案： A |
123.177.18.* -
KaoGuTi網站的Series6題庫是最新版本，很好用，我已经用它通过了考试。