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