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Series 10

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Bundle with Series 9 and save up to $275!

View Series 9 + 10

Series 10

The Series 10 exam — one of the General Securities Sales Supervisor Exams — covers four major functions with a focus on supervising sales practices and general trading activities.

Visit FINRA for more info

145 Questions

Multiple Choice

4h

Duration

70%

Min Passing Score

70% - 75%

Average Passing Rate

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Requisites

Prerequisites

  • SIE
  • Series 7

Corequisites

  • Series 9

Topics

  • Sales supervision
  • Customer accounts
  • New issues/trading markets
  • Investment companies
  • Retirement plans
  • Financial responsibility
  • MSRB rules

Retake Wait Periods

After the first or second time a candidate fails the Series 10, there is a mandatory 30-day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 6 months. The $175 exam fee applies each time they take the exam.

What’s Next

After passing the Series 10 exam, you can assume a managerial role at a financial services firm.

Prep Packages

Be confident, fully prepared, and ready to pass.

Much like Series 9 and many other exams, Series 10 will try to stump you on the question language or format. Depending on your learning style, you need prep options that will leave you confident, ready, and prepared to pass.

Best Value

Pass Promise

Our best value: A guaranteed pass, plus an instructor-led live virtual class for your review.

$

674

Course access is for 7 months from the date of purchase

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Features

Pass Plus Pro

Want to supplement your studies? Get a few helpful extras, like on-demand instructional videos.

$

570

Course access is for 7 months from the date of purchase

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Features

Pass Plus

If you thrive as an independent learner, this self-study package has the essentials you need.

$

414

Course access is for 7 months from the date of purchase

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Features

Looking for Study Aids?

We offer resources and materials to help get you prepped and confident.

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With Us You Can

Study Smarter

Retention Over Memorization

We’ll provide you with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.

View Sample Questions

Shorten Your Study Time

Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.

Customize Your Studies

Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.

Virtual, Online Classes

Led by industry experts, providing students with pertinent securities exam essentials and the knowledge needed to successfully pass.

View Live Class Schedule

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Course Material

Your Ultimate Resource

We have created the ultimate resource to help ensure you pass — the first time. Developed by experts in FINRA licensing, our coursework incorporates everything you need to know to successfully take this important step in advancing your career.

Multi-level Assessments

Includes Quick Quizzes at the topic level.

Chapter Video Lectures

Created by expert Instructors, aligned with the book’s content.

Animated Videos

Reinforcing key concepts and test-taking strategies with simulated exam questions.

Scored and Graded Assessments

Check Your Understanding, Chapter Exams, Mid-Term Exams, and Fixed Final Exams.

Clear and concise course material

Increased efficiency in learning, allowing more time for Final Practice Exams.

Intuitive & Modern User Interface

Our LMS allows you to engage easily and keep careful track of your progress, so you can focus on learning.

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FAQs

The Series 10 exam does not expire unless you leave the employ of the member firm. There is a 2-year grace period — after the 2-year employment lapse, retesting is required.

After passing the Series 10 exam, you can assume a managerial role at a financial services firm. For potential principals, branch office managers, and sales supervisors, the Series 10 exam is a great way to further your career. Series 9 is a co-requisite of the Series 10 exam.

Not everyone can take the Series 10 — sponsorship from a FINRA member firm is required, meaning a candidate must first be hired by a FINRA member firm.

Yes. SIE and Series 7 are prerequisites for Series 10. Series 9 is a co-requisite.

A calculator will be provided by the testing center, if needed.

You cannot bring in anything with you to take the Series 10 exam. No pen, pencil, calculator, cell phone, smart watch, or paper. Everything is prohibited.

You may take the Series 10 exam as many times as it takes to pass. Note there is a 30-day waiting period after your first and second failed attempt, and a 6-month waiting period after the third failed attempt and beyond. The $145 exam fee applies each time you take the test.

After the first or second time a candidate fails the Series 10, there is a mandatory 30-day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 6 months. The $145 exam fee applies each time they take the exam.

Though many students prefer to take the test separately, and there is no guarantee that the testing center will have available slots on the same day, you can sit for both tests at one time.

Visit Finra.org to enroll for the Series 10 exam. The exam fee is $145, , and a sponsoring FINRA member firm will need to handle the paperwork.

Visit Finra.org to enroll for the Series 10 exam. The exam fee is $145, , and a sponsoring FINRA member firm will need to handle the paperwork.

Yes. Series 10 is more challenging than SIE due to difficult and comprehensive material.

The Series 10 exam has approximately a 70% pass rate.

The minimum passing score for the Series 10 exam is 70%.

The Series 10 exam consists of 145 multiple choice questions.

You will have 4 Hours to complete the Series 10 exam.

When preparing to take the Series 10 exam, you should plan to study for 70-80 hours. Typically, candidates study over the course of 3-4 weeks. The time you need to spend preparing for the exam varies depending on your familiarity with the material. Our adaptive preparation provides extra help where needed to make sure you spend your study time wisely and take the test with confidence.