Series 9/10 Exam Prep Training Course & Study Materials

Series 9 and 10 securities prelicensing program

FINRA Series 9/10 Exam Prep

ExamFX has created a comprehensive online Series 9 and 10 training program to ensure candidates are prepared to pass their exam on the first attempt.

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Series 9/10 Training Package Information

We offer a flexible solution and package designed to help candidates pass their Series 9 and 10 exam. Our training provides a variety of helpful study tools that prepares candidates for success.

PACKAGE INFORMATION

			SELF-STUDY PACKAGE
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90 Days Course Access
Interactive Learning Portal
Chapter Quizzes
Practice Exams
Readiness Exam
Instructor Support

What is the Series 9/10 registration?

The Series 9 and 10 exam assesses the ability of an entry-level principal to perform their job as a securities sales supervisor. In order to obtain a Series 9/10 registration, you must pass the General Securities Sales Supervisor exams administered by FINRA (Financial Industry Regulatory Authority).
VIEW FINRA SERIES 9/10 EXAM CONTENT OUTLINE

About the Series 9/10 Exam

What are the topics covered on the Series 9/10 Exam?

The Series 9 and 10 exam is designed to determine whether an individual meets the FINRA's qualification standards for a general securities sales supervisor.

The Series 9 exam consists of 55 scored questions and is broken down into the following sections:

Federal Regulations (4%)
General Supervision (23%)
Sales Supervision (25%)
Origination and Syndication (23%)
Trading (10%)
Operations (15%)

The Series 10 exam consists of 145 scored questions and is broken down into the following sections:

Supervise Associated Persons and Personnel Management Activities (20%)
Supervise the Opening and Maintenance of Customer Accounts (33%)
Supervise Sales Practices and General Trading Activities (36%)
Supervise Communications with the Public (11%)

See below for more detailed breakdown or visit FINRA.

Series 9

Function 1: Supervise the Opening and Maintenance of Customer Options Accounts

Reviewing new account documentation to determine if approval is appropriate
Reviewing recommended customer options trading activities to determine if strategies meet applicable standards
Reviewing margin accounts to confirm proper handling and timely adherence to margin requirements

Function 2: Supervise Sales Practices and General Options Trading Activities

Identifying and reviewing customer complaints and take appropriate actions
Overseeing the correction of options trade errors
Reviewing daily trade activity for completeness of records or exceptions
Monitoring the general operational process of options trades

Function 3: Supervise Options Communications

Reviewing options retail communications and determining appropriate approval
Reviewing incoming and outgoing options correspondence including approval where required
Reviewing options institutional communication and determining appropriate approval

Function 4: Supervise Associated Persons and Personnel Management Activities

Maintaining marketplace and associated product and regulatory knowledge

Series 10

Function 1: Supervise Associate Persons and Personnel Management Activities

Verifying the qualifications of newly hired associated persons
Reviewing and maintaining associated persons' registrations and disclosures
Supervising associated persons and taking corrective actions as appropriate
Maintaining marketplace and associated product and regulatory knowledge
Conducting branch office inspections and managing the delegation of duties

Function 2: Supervise the Opening and Maintenance of Customer Accounts

Reviewing new account documentation to determine if approval meets applicable standards
Reviewing customer account transactions, distributions and account transfer for appropriateness
Reviewing margin accounts to confirm proper handling and timely adherence to margin requirements
Overseeing administrative maintenance of customers' accounts

Function 3: Supervise Sales Practices and General Trading Activities

Identifying and reviewing customer complaints and taking appropriate actions
Overseeing the correction of trade errors
Reviewing daily trade activity for completeness of records or exceptions
Reviewing trading activity in employees' internal and external accounts
Supervising sales practices of products

Function 4: Supervise Communications with the Public

Overseeing telemarketing practices
Reviewing retail communications and determining appropriate approval
Reviewing incoming and outgoing correspondence including approval where required
Reviewing institutional communication and determining appropriate approval

FINRA Series 9/10 Exam Details

The Series 9 exam consists of 55 multiple-choice questions. Candidates are given 1 hour and 30 minutes to complete the exam and must achieve a 70% to pass. The cost of the exam is $80.

The Series 10 exam consists of 145 multiple-choice questions. Candidates are given 4 hours to complete the exam and must achieve a 70% to pass. The cost of the exam is $125.

What is the ExamFX Readiness Exam?

ExamFX is so confident in our training program that we guarantee users who successfully complete the Readiness Exam will pass their licensing exam on their first attempt! If you do not pass your licensing exam within three days after scoring 80% or higher on the Readiness Exam, we will refund the cost of your course. It is that simple. Some restrictions may apply.