A compact directory of the main regulatory sites Series 6 candidates should know how to use.
On this page
Candidates do not need to memorize regulator contact pages for the exam, but they should understand which organizations control which part of the rule framework. This appendix is designed as a routing aid for further study and current rule checking.
Main Sites To Know
FINRA: qualification exams, rules, broker-dealer supervision, and registered-person obligations
SEC: federal securities laws, rules, enforcement, and investor information
MSRB: municipal-securities rules and educational resources
SIPC: customer-protection information for brokerage insolvency situations
Use the official site contact and help pages for current phone numbers, submission methods, and complaint-routing details.
Key Takeaways
Know which regulator or organization matches the issue in front of you.
Official sites are the best source for current rule text and contact channels.
Series 6 benefits from role recognition even when the exam does not ask for a web address directly.
Sample Exam Question
A candidate wants the official current rules and educational resources for municipal securities. Which site is the best starting point?
A. SIPC B. MSRB C. a mutual fund distributor’s sales page D. a test-center vendor page
Answer: B. The MSRB is the main official source for municipal-securities rules and related educational material.