Series 9 and 10 General Securities Sales Supervisor Examination Study Guides and Flash Cards
The General Securities Sales Supervisor Qualification Examination (Series 9 and 10) is intended to test a candidate’s knowledge of securities industry rules and certain statutory provisions applicable to the supervision of sales activities at a general securities-oriented branch office. The examination question bank and question allocation is developed through a committee of securities industry professionals with experience in retail securities sales.
The Series 9 and 10 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. It includes sample questions to acquaint candidates with the types of multiple-choice questions on the exam.
The outline consists of two parts that include the eight main job functions of a sales supervisor:
Part 1: Series 10
Section 1 — Supervise Associated Persons and Personnel Management Activities
Section 2 — Supervise the Opening and Maintenance of Customer Accounts
Section 3 — Supervise Sales Practices and General Trading Activities
Section 4 — Supervise Communications with the Public
Part 2: Series 9
Section 1 — Supervise the Opening and Maintenance of Customer Options Accounts
Section 2 — Supervise Sales Practices and General Options Trading Activities
Section 3 — Supervise Options Communications
Section 4 — Supervise Associated Persons and Personnel Management Activities
The Series 7 is a prerequisite for this examination.
SERIES 9/10 AT A GLANCE
Number of Items S9: 55 & S10:145
Format : Multiple Choice
Duration S9: 90 & S10: 240 minutes
Passing Score S9: 70% & S10: 70%
Prerequisite : Series 7 Exam
Cost S9: $80 & S10: $125
Effective Date 9/1981 to present
For more details about this exam you can refer : http://www.finra.org/industry/series9-10