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Series 10: General Securities Sales Supervisor - General
This exam comprises 145-scored questions with an additional 10-unscored "pretest" questions. Eligible representatives have 4-hours to complete the exam with a passing score of 70%. The Series 7 (or foreign equivalent) is a prerequisite for this examination. The Series 7 licensed representative must be associated with and sponsored by a FINRA member firm for eligibility to take the Series 10 or 9 exams. Along with the Series 9, the Series 10 exam is required to qualify for the Series 8 branch manager license. Either exam may be taken first, sequence does not matter.
Audience: The Series 10 exam - the General Securities Sales Supervisor Qualification Examination - evaluates a registered representative's proficiency and knowledge of securities industry rules and particular statutory provisions applicable to supervising sales activities at a general securities-oriented branch office. The exam is for professionals whose five main job functions of a sales supervisor are: * Hiring, qualifications, and continuing education * Supervision of accounts and sales activities * Conduct of associated persons * Record-keeping requirements * Municipal securities regulation
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- 15 Learning Modules
- 16 Interactive Online Quizzes
- 6 Sample Final Exams
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