Series 9 and 10 Exam Details
Series 9 Exam Details
The FINRA® Series 9, General Securities Sales Supervisor – Options Exam tests a candidate's knowledge of securities rules and regulations in preparing for supervising the sales activities in corporate, municipal and options securities, and more. Individuals must pass the Series 9 and the Series 10 exams to be qualified to supervise the purchase and sale of nonexempt securities.
Prerequisites
Series 7
Exam Format
55 multiple-choice questions
Exam Duration
1 hour, 30 minutes
Outline of Topics Covered
- Options Regulation
Series 10 Exam Details
The FINRA® Series 10, General Securities Sales Supervisor – General Exam tests a candidate's knowledge of securities rules and regulations in preparing for supervising the sales activities in corporate, municipal and options securities, and more. Individuals must pass the Series 9 and the Series 10 exams to be qualified to supervise the purchase and sale of nonexempt securities.
Prerequisites
Series 7
Exam Format
145 multiple-choice questions
Exam Duration
4 hours
Outline of Topics Covered
- Hiring, Qualifications, and Continuing Education
- Supervision of Accounts and Sales Activities
- Conduct of Associated Persons
- Recordkeeping Requirements
- Municipal Securities Regulation
Best Practices Guide
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
Attention
Begin Preparing for the Series 9 and 10 Exams
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Basic Package
Self-Study Options
The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Plan based on your schedule and exam date.