Series 9 + 10
Series 9
The Series 9 exam — one of the General Securities Sales Supervisor Exams — assesses the competency of an entry-level principal, including approval of customer accounts, training of personnel, and maintenance of records.
60 Questions
1h 30m
70%
70% - 75%
Topics
- Supervision of customer options accounts
- Options sales activities
- Options advertisements
- Management of associated persons
Retake Wait Periods
You may take the Series 9 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 $175 exam fee applies each time you take the test.
What’s Next
After passing the Series 9 an individual may function as a General Securities Sales Supervisor provided they have also passed the co-requisite Series 10 Exam.
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.
145 Questions
4h
70%
70% - 75%
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 $235 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
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Virtual, Online Classes
Led by industry experts, providing students with pertinent securities exam essentials and the knowledge needed to successfully pass.
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.
Series 9, Series 10
FAQs
Series 9
After passing the Series 9 an individual may function as a General Securities Sales Supervisor provided they have also passed the co-requisite Series 10 Exam. For potential principals, branch office managers, and sales supervisors, the Series 9 exam is a great way to further your career.
The Series 9 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.
Not everyone can take the Series 9 — 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 the Series 9 exam. Series 10 is a co-requisite of the Series 9 exam.
Yes, the testing center will provide students with a calculator, if needed.
You cannot bring in anything with you to take the Series 9 exam. No pen, pencil, calculator, cell phone, smart watch, or paper. Everything is prohibited.
You may take the Series 9 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 $80 exam fee applies each time you take the test.
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 9 exam. The exam fee is $80, and a sponsoring FINRA member firm will need to handle the paperwork.
Yes. The Series 9 exam is harder due to more calculations, material that is more theoretical, and many students feel that the test is time-constrained.
The Series 9 exam has approximately a 70% pass rate.
The minimum passing score for the Series 9 exam is 70%.
The Series 9 exam consists of 55 graded multiple choice questions.
You will have 1 Hour and 30 Minutes to complete the Series 9 exam.
When preparing to take the Series 9 exam, you should plan to study for 25-35 hours. Typically, candidates study over the course of 2-3 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.
Series 10
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.