FINRA Series 6 Exam Questions and
Answers 100% Pass
Retail Communication - CORRECT ANSWER-"any written (including electronic)
communication that is distributed or made available to more than 25 retail
investors within any 30 calendar-day period.
*Preapproval of a principal is required (prior to use).
Correspondence - CORRECT ANSWER-written or electronic communication
that is distributed or made available to 25 or fewer retail investors within any 30-
calendar-day period
**Pre- or post-review of a principal is required (reviewed before or after use).
Institutional communication - CORRECT ANSWER-any written communication
that is distributed or made available only to institutional investors but does not
include a member firm's internal communications.
**No preapproval of a principal is required
Public Appearance - CORRECT ANSWER-participation in a seminar, webinar,
forum (including an interactive electronic forum such as a chat room), radio or
television interview, or other public appearance or public speaking activity.
,**Preapproval of a principal may be required but is not mandated
independently prepared reprint (IPR) - CORRECT ANSWER-consists of any
article reprint that meets certain standards designed to ensure that the reprint was
issued by an independent publisher and was not materially altered by the member
**must be preapproved by a principal if the communication meets the definition of
a retail communication.
research report - CORRECT ANSWER-is a document prepared by an analyst or
strategist, typically as part of a research team for an investment bank or broker-
dealer.
**Research reports must be preapproved by a principal if the communication
meets the definition of a retail communication
electronic communications - CORRECT ANSWER-Websites, whether sponsored
by the company itself or set up by an individual registered representative, are
considered retail communications and are subject to applicable filing and
recordkeeping rules. They must be reviewed and approved by a principal prior to
first use and must contain no exaggerated claims or misleading information.
Electronic bulletin boards - CORRECT ANSWER-are also considered retail
communications, but a registered representative using one, or a chat room, need
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,not identify himself as a registered person. Use of an online interactive forum by a
registered representative must be approved by a principal, although each post does
not require principal approval
Generic advertising - CORRECT ANSWER-promotes securities as an investment
medium but does not refer to any specific security. Generic advertising often
includes information about:
-the securities investments that companies offer,
- the nature of investment companies,
- services offered in connection with the described securities,
- explanations of the various types of investment companies,
- descriptions of exchange and reinvestment privileges, and
- where the public can write or call for further information
Rule 3110 - CORRECT ANSWER-Each member must retain copies of its
registered representatives' correspondence according to the recordkeeping rule
Filing Requirements during 1st year of operation - CORRECT ANSWER-FINRA
will require the member to file any retail communication that is published or used
in any electronic or other public media (e.g., any generally accessible website,
newspaper, magazine or other periodical, radio, television, telephone or audio
recording, video display, sign or billboard, motion picture, or telephone directory
, [other than routine listings]) with FINRA at least 10 business days before first use
(prefiling).
Filing Requirements for an "Established Firm" (after completion of 1st year of
registration) - CORRECT ANSWER-may file retail communications relating to
investment companies (including mutual funds, variable contracts, and UITs)
within 10 business days of first use (post-filing).
Whether a first year firm or not, retail communications for investment companies
(including mutual funds, variable contracts, and UITs) that include a ranking or
comparison that is generally not published or is the creation of the investment
company or the member must be filed with FINRA.... - CORRECT ANSWER-at
least 10 business days before first use (prefiling).
If the ranking or comparison is generally published or is the creation of an
independent entity (e.g., Lipper or Morningstar), what rules apply? - CORRECT
ANSWER-the usual filing rules for filing will apply (i.e., within 10 business days of
first use [post-filing])
Spot Checks - CORRECT ANSWER-Each member's retail communications are
subject to routine spot checks. Members must comply with written requests for
such material by FINRA. Material filed previously with FINRA under this rule
need not be resubmitted.
COPYRIGHT ©️ 2025 ALL RIGHTS RESERVED
Answers 100% Pass
Retail Communication - CORRECT ANSWER-"any written (including electronic)
communication that is distributed or made available to more than 25 retail
investors within any 30 calendar-day period.
*Preapproval of a principal is required (prior to use).
Correspondence - CORRECT ANSWER-written or electronic communication
that is distributed or made available to 25 or fewer retail investors within any 30-
calendar-day period
**Pre- or post-review of a principal is required (reviewed before or after use).
Institutional communication - CORRECT ANSWER-any written communication
that is distributed or made available only to institutional investors but does not
include a member firm's internal communications.
**No preapproval of a principal is required
Public Appearance - CORRECT ANSWER-participation in a seminar, webinar,
forum (including an interactive electronic forum such as a chat room), radio or
television interview, or other public appearance or public speaking activity.
,**Preapproval of a principal may be required but is not mandated
independently prepared reprint (IPR) - CORRECT ANSWER-consists of any
article reprint that meets certain standards designed to ensure that the reprint was
issued by an independent publisher and was not materially altered by the member
**must be preapproved by a principal if the communication meets the definition of
a retail communication.
research report - CORRECT ANSWER-is a document prepared by an analyst or
strategist, typically as part of a research team for an investment bank or broker-
dealer.
**Research reports must be preapproved by a principal if the communication
meets the definition of a retail communication
electronic communications - CORRECT ANSWER-Websites, whether sponsored
by the company itself or set up by an individual registered representative, are
considered retail communications and are subject to applicable filing and
recordkeeping rules. They must be reviewed and approved by a principal prior to
first use and must contain no exaggerated claims or misleading information.
Electronic bulletin boards - CORRECT ANSWER-are also considered retail
communications, but a registered representative using one, or a chat room, need
COPYRIGHT ©️ 2025 ALL RIGHTS RESERVED
,not identify himself as a registered person. Use of an online interactive forum by a
registered representative must be approved by a principal, although each post does
not require principal approval
Generic advertising - CORRECT ANSWER-promotes securities as an investment
medium but does not refer to any specific security. Generic advertising often
includes information about:
-the securities investments that companies offer,
- the nature of investment companies,
- services offered in connection with the described securities,
- explanations of the various types of investment companies,
- descriptions of exchange and reinvestment privileges, and
- where the public can write or call for further information
Rule 3110 - CORRECT ANSWER-Each member must retain copies of its
registered representatives' correspondence according to the recordkeeping rule
Filing Requirements during 1st year of operation - CORRECT ANSWER-FINRA
will require the member to file any retail communication that is published or used
in any electronic or other public media (e.g., any generally accessible website,
newspaper, magazine or other periodical, radio, television, telephone or audio
recording, video display, sign or billboard, motion picture, or telephone directory
, [other than routine listings]) with FINRA at least 10 business days before first use
(prefiling).
Filing Requirements for an "Established Firm" (after completion of 1st year of
registration) - CORRECT ANSWER-may file retail communications relating to
investment companies (including mutual funds, variable contracts, and UITs)
within 10 business days of first use (post-filing).
Whether a first year firm or not, retail communications for investment companies
(including mutual funds, variable contracts, and UITs) that include a ranking or
comparison that is generally not published or is the creation of the investment
company or the member must be filed with FINRA.... - CORRECT ANSWER-at
least 10 business days before first use (prefiling).
If the ranking or comparison is generally published or is the creation of an
independent entity (e.g., Lipper or Morningstar), what rules apply? - CORRECT
ANSWER-the usual filing rules for filing will apply (i.e., within 10 business days of
first use [post-filing])
Spot Checks - CORRECT ANSWER-Each member's retail communications are
subject to routine spot checks. Members must comply with written requests for
such material by FINRA. Material filed previously with FINRA under this rule
need not be resubmitted.
COPYRIGHT ©️ 2025 ALL RIGHTS RESERVED
