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Series 10 - General Securities Sales Supervisor – General

The Series 10 Exam is a principal-level FINRA exam that, along with the Series 9 Exam, qualifies an individual to supervise sales activity in full range of investment products, including municipal securities and options. While this exam does NOT qualify individuals to supervise investment banking, it fulfills the qualification requirement to be a branch office manager.

Exam

Exam Details

Exam Format: 145 multiple-choice questions

Exam Duration: 4 hours (240 minutes)

Passing Score: 70%

Prerequisite: SIE + Series 7

Corequisite: Series 9

Broker-dealer Sponsorship: required

Exam Outline

FUNCTION DESCRIPTION Percentage of Exam No. Questions
Function 1: Supervise Associated Persons and Personnel Management Activities 19% 28
Function 2: Supervise the Opening and Maintenance of Customer Accounts 34% 49
Function 3: Supervise Sales Practices and General Trading Activities 36% 52
Function 4: Supervise Communications with the Public 11% 16
TOTAL 100% 145

Test Center

Prometric is the sole vendor delivering all FINRA-administered exams. Prometric facilities are located in most cities. To schedule an exam, contact Prometric at:

If your local test center does not have favorable availability, consider testing in a neighboring city. Ask about parking when you schedule your exam. Candidates must present valid, current, government-issued photo identification. This includes:

Student IDs are NOT accepted by Prometric.

COVID-19 Considerations: Due to COVID-19 health concerns, all Prometric test centers require face coverings, and that all testers are free from COVID infection and/or exposure during the previous 14 days. See https://www.prometric.com/covid-19-update/test-center-policies for the latest COVID updates.

In addition, many exams allow Remote Proctoring - see https://www.prometric.com/test-takers/search/1finra for more info.

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