FINRA (formerly NASD) - Series 9/10: General Securities Sales Supervisor

This registration is appropriate for individuals required to register as principals in order to supervise sales activities in corporate, municipal, and options securities; investment company products; variable contracts; and direct participation programs. In addition to branch office managers, regional and national sales managers may also register in this capacity.

The Series 9/10 exam requires a Series 7 license as a prerequisite.

To obtain your Series 9/10 license, you should plan to spend 120 to 140 hours in study preparation. The national exam is administered in two parts.

• The Series 9, Regulation of Options, exam is a 90-minute test which contains 55 options questions.
  
  
• The Series 10 exam is a four-hour test which contains 145 questions, covering the FINRA, New York Stock Exchange, Municipal Securities Rule Board, and Securities and Exchange Commission rules.
  
  
• Series 9/10 candidates must score 70% or better on each exam in order to pass, the exams may be taken in order or out of sequence, as long as both exams are completed within the 120 day enrollment period.
  
  

Series 9/10 Study Materials

Series 9/10 FAQs (Frequently Asked Questions)

Series 9/10 Study Tips

Series 9/10 Recommendations

Class Locations and Dates

Helpful Learning Tool:

• Series 9/10 Pie Chart, which are breakdown of the exams