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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

Price: $315.00

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What's Included:

  • 15 Learning Modules
  • 16 Interactive Online Quizzes
  • 6 Sample Final Exams

This courses does not currently offer video tutorials.

More Purchasing Options

QStar Mastery Exams Option – Don't need the full course? Purchase the sample final exams for this course for only $75.00. Course content modules, quizzes, and tutorial videos not included. Add to cart »

The NorthStar Advantage

Our package is the best value in the industry and includes everything you need to pass your exam quickly.

Convenient – Study anywhere, anytime on your desktop, tablet, or phone.
Comprehensive – Online & printable lessons (Ebook) with executive summaries; test-taking tips; quizzes, midterms & final exams that simulate the actual test; and direct access to expert instructors. Textbooks are also available for purchase.
Personalized – System creates a personalized plan that targets weaknesses and optimizes study time. Create unlimited custom exams to close any knowledge gaps.
Effective – Green Light program indicates your preparedness for your exam, ensuring the highest industry pass rates!

No Pass No Pay Guarantee

We're so confident you'll pass this exam on your first try, this course is guaranteed by our No Pass No Pay policy. Learn More »