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Series 10 Sample Questions

Our Questions Mimic the Real Exam

Our courses reinforce retention over memorization with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.

Closed & Open Stem

Most/Least/Best

Except or Not

Complex Multiple Choice


More about Testing Methods
Team members collaborating

Who initiates a complaint under the FINRA® Code of Procedure?

A.

Member firm

B.

Customer

C.

FINRA Department of Enforcement

D.

FINRA Market Watch

Answer: C

Rationale: Code of Procedure is used by FINRA to discipline associated persons and member firms for serious rule violations. It starts with the FINRA Department of Enforcement serving a complaint on the member firm or associated person and filing a copy of the complaint with the FINRA Office of Hearing Officers (OHO). The OHO will appoint a Chief Hearing Officer and, after the respondent answers, will decide whether a hearing is required.

Which of the following will most likely result in a statutory disqualification?

A.

A non-securities-related misdemeanor that occurred 5 years ago

B.

A securities-related felony that occurred 11 years ago

C.

A non-securities-related felony that occurred 9 years ago

D.

A bankruptcy

Answer: C

Rationale: The Exchange Act lists several statutory disqualification events. This list includes securities-related misdemeanors and all felony criminal convictions for a period of ten years from the date of conviction. A bankruptcy is not considered a statutory disqualification event.

Under FINRA® rules, if an individual fails the appropriate licensing exam three successive times:

A.

No reattempt is permitted

B.

30 days must elapse between each subsequent reattempt

C.

90 days must elapse between each subsequent reattempt

D.

180 days must elapse between each subsequent reattempt

Answer: D

Rationale: FINRA requires that 30 days must elapse after a licensing exam is failed before a reattempt is permitted. However, after failing three successive times, 180 days must elapse between each subsequent reattempt.

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