Browse FINRA SIE & Series Exam Guides

Key Terms Glossary

High-yield Series 6 terms that should become fast-recognition concepts before exam day.

On this page

Use this glossary for recall speed, not first exposure. The goal is to make common Series 6 terms instantly recognizable so the exam stem feels familiar rather than dense.

TermQuick meaning
NAVPer-share net asset value of a fund
POPPublic offering price paid by the customer
breakpointSales-charge reduction based on purchase level or rights of accumulation
accumulation unitVariable annuity unit used before annuitization
annuity unitUnit used after annuitization to determine payment amount
suitabilityMatching the recommendation to the customer’s profile and needs
prospectusDisclosure document describing the investment and its risks

Key Takeaways

  • Glossary work is strongest when paired with full lessons.
  • Terms should trigger a concept, not just a memorized phrase.
  • Fast term recognition reduces hesitation during the exam.

Sample Exam Question

Which term most directly refers to the value of a mutual fund share before a sales charge is added?

A. breakpoint
B. annuity unit
C. NAV
D. POP

Answer: C. Net asset value is the per-share value before any applicable sales charge is added to reach the public offering price.

Revised on Thursday, April 23, 2026