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.

 

Series 7

55 multiple-choice questions

1 hour, 30 minutes

Outline of Topics Covered

  • Options Regulation

 

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

 

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.

 

Series 7

145 multiple-choice questions

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

 

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

 

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

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the  Colorado College Bulletin.
Kaplan Financial Education is authorized for operation as a postsecondary educational institution by the Tennessee Higher Education Commission. In order to view detailed job placement and graduation information on the programs offered by Kaplan Financial Education, please visit www.state.tn.us/thec and click on the Authorized Institutions Data button.

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Self-Study Options

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