Series 10 - Branch Manager - Regulations

The Series 9/10 exam is accepted by FINRA member firms to license branch managers to supervise branch activities. The prerequisite examination is the Series 7.

The Series 9/10 General Securities Sales Supervisor examination is segmented into two portions:

  • Series 9 - 55 questions on Options, to be completed within 1 ½ hours
  • Series 10 - 145 questions covering Federal Regulations, FINRA Rules, and MSRB Rules, to be completed in 4 hours.

This product page is for Series 10 products only.

If you would like to purchase study material for Series 9 and 10, please follow this link.

Please click on an available product below to learn more:

This bundle is for the person who:

  • Prefers hard copy reading
  • Has some financial background
  • Wishes to study specific areas
  • Wishes to attend a live virtual class for final review with a seasoned instructor

This bundle includes:

  • Series 10 Printed Materials, DATABANK Practice Exams, and Virtual Classroom Review 3 in 1 Bundle
Sample Questions Available Classes

This bundle is for the person who:

  • Prefers hard copy reading
  • Wishes to attend a live virtual class for final review with a seasoned instructor

This bundle includes:

  • Series 10 Printed Materials and Virtual Classroom Review 2 in 1 Bundle
Sample Questions Available Classes

This bundle is for the person who:

  • Prefers hard copy reading
  • Has some financial background
  • Wishes to study specific areas

This bundle includes:

  • Series 10 DATABANK Practice Exams and Printed Materials 2 in 1 Bundle

The Series 10 printed material covers the following subjects:

Regulations

  • Sales Supervision
  • Customer Accounts
  • New Issue Markets / Trading Markets
  • Investment Companies / Retirement Plans / Financial Responsibility
  • MSRB Rules

After each section of the text, simulated test questions with detailed explanations give the user immediate feedback on his level of understanding. Separate from the text book is a Regulations Finals book, with 12 simulated Regulations Finals.

This includes the Quick 10 Study Guide which compresses the information in the full Series 10 text into a shorter summarized review. The Study Guide makes an excellent final review prior to taking the actual exam.

This bundle is for the person who:

  • Prefers hard copy reading
  • Has some financial background
  • Wishes to study specific areas
  • Wishes to attend a live virtual class for final review with a seasoned instructor

This bundle includes:

  • Series 10 Printed Materials, DATABANK Practice Exams, and Virtual Classroom Review 3 in 1 Bundle
Available Classes

This bundle is for the person who:

  • Prefers hard copy reading
  • Has some financial background
  • Wishes to study specific areas

This bundle includes:

  • Series 10 DATABANK Practice Exams and Printed Materials 2 in 1 Bundle

Web Based (Recommended)

  • Always Up To Date
  • Unlimited Quizzes for each of the major topics covered on the exams
  • 12 Finals for Series 10, covering material from all major topics

Designed to complement our Printed Materials, Series 10 DATABANK Practice Exams software is a convenient and effective method of testing a student's overall comprehension of the material. Using DATABANK Practice Exams software prepares the candidate for the actual test by presenting practice questions of similar complexity to that of the real exam.

The program consists of tests drawn from a pool of over 1,600 questions for Series 10, covering the major topics found on the actual exams.

Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question the student sees is unique. All of the tests are weighted in the same manner as the material in the actual exam.

Anyone using Printed Materials, or attending Live Virtual Classroom Training, will improve their scores with DATABANK Practice Exams.

This bundle is for the person who:

  • Prefers hard copy reading
  • Has some financial background
  • Wishes to study specific areas
  • Wishes to attend a live virtual class for final review with a seasoned instructor

This bundle includes:

  • Series 10 Printed Materials, DATABANK Practice Exams, and Virtual Classroom Review 3 in 1 Bundle
Available Classes

This bundle is for the person who:

  • Prefers hard copy reading
  • Wishes to attend a live virtual class for final review with a seasoned instructor

This bundle includes:

  • Series 10 Printed Materials and Virtual Classroom Review 2 in 1 Bundle
Available Classes

PassPerfect Live Virtual Classes are designed for final review before an individual takes his or her licensing exam. These are web-delivered live interactive classes taught by seasoned instructors who know these exams. The classes are exam-focused, emphasizing the content that is most heavily tested and the content that is most difficult.

The key to any live class is the instructor. Our instructors have, on average, been doing this for 20 years. This means that they really know these exams inside and out and they also know how to teach the content so that it comes alive in class. Our instructors really care about their students, and stay available after each class session to work with students who need extra help, and to answer additional questions on a one-on-one basis.

A great class experience can make all the difference in being properly prepared for these difficult exams.

Please note: Students should enroll in a virtual class after they have substantially completed their studies using their recently purchased Pass Perfect materials. To receive the full benefit from virtual review, class should be scheduled close to the actual test date.

Available Classes

The Series 10 printed material covers the following subjects:

Regulations

  • Sales Supervision
  • Customer Accounts
  • New Issue Markets / Trading Markets
  • Investment Companies / Retirement Plans / Financial Responsibility
  • MSRB Rules

After each section of the text, simulated test questions with detailed explanations give the user immediate feedback on his level of understanding. Separate from the text book is a Regulations Finals book, with 12 simulated Regulations Finals.

This includes the Quick 10 Study Guide which compresses the information in the full Series 10 text into a shorter summarized review. The Study Guide makes an excellent final review prior to taking the actual exam.

Web Based (Recommended)

  • Always Up To Date
  • Unlimited Quizzes for each of the major topics covered on the exams
  • 12 Finals for Series 10, covering material from all major topics

Designed to complement our Printed Materials, Series 10 DATABANK Practice Exams software is a convenient and effective method of testing a student's overall comprehension of the material. Using DATABANK Practice Exams software prepares the candidate for the actual test by presenting practice questions of similar complexity to that of the real exam.

The program consists of tests drawn from a pool of over 1,600 questions for Series 10, covering the major topics found on the actual exams.

Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question the student sees is unique. All of the tests are weighted in the same manner as the material in the actual exam.

Anyone using Printed Materials, or attending Live Virtual Classroom Training, will improve their scores with DATABANK Practice Exams.

PassPerfect Live Virtual Classes are designed for final review before an individual takes his or her licensing exam. These are web-delivered live interactive classes taught by seasoned instructors who know these exams. The classes are exam-focused, emphasizing the content that is most heavily tested and the content that is most difficult.

The key to any live class is the instructor. Our instructors have, on average, been doing this for 20 years. This means that they really know these exams inside and out and they also know how to teach the content so that it comes alive in class. Our instructors really care about their students, and stay available after each class session to work with students who need extra help, and to answer additional questions on a one-on-one basis.

A great class experience can make all the difference in being properly prepared for these difficult exams.

Please note: Students should enroll in a virtual class after they have substantially completed their studies using their recently purchased Pass Perfect materials. To receive the full benefit from virtual review, class should be scheduled close to the actual test date.

View Available Classes
About Pass Perfect

Pass Perfect is a leading developer of targeted, effective training programs for Series 7 and other FINRA and NASAA securities licensing exams.

Our level of experience and expertise is unmatched. Over the last 30 years we have successfully trained over 1,000,000 individuals for these exams.

Need Help?

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(800) 349-3396

To place an order by phone or to contact Tech Support, call us at:

(800) 777-7462