FINRA Series 10 Principal Level Exam Prep Training Course & Study Materials
Prepare for your FINRA Series 10 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
FINRA Series 10 Principal Level Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
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Hard-Copy Textbook
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Personalized Study Plan
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Best Practice Guide
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Practice Question Sets
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Benchmark Final
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Standard Final Exams
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Custom Exam Generator
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Phone Instructor Support
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Glossary and Acronyms
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Real-Time Content Updates
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Report Center
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On-Demand Video Lectures
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Checkpoint Exams
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eBook
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SpotCheck Quizzes
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Online Instructor Support
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Online Flashcards
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Live Focused Webinars
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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
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Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
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Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
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145
Multiple-Choice Questions
4h 0m
Time to Complete
70%
Passing Score Required
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$175
Exam Cost
What is the Series 10 Exam?
The Series 10 exam is Part 1 (General) of the Series 9/10 exam, which 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
Although commonly referred to as the Series 9/10, these exams are structured as two separate tests. Candidates must sit for both exams on the same day or schedule them separately on different days. You must pass both exams within two years to register as a General Securities Sales Supervisor.
Candidates must be sponsored by a FINRA member firm and must first pass both the SIE and Series 7 exams to sit for the Series 9/10.
Function 1: Supervise the Opening and Maintenance of Customer Accounts
- Account Setup and Documentation
- Review new account forms for completeness and accuracy
- Ensure proper disclosures and agreements are in place
- Approve account types: individual, joint, retirement, margin, custodial
- Suitability and Risk Evaluation
- Assess customer financial profile and investment objectives
- Confirm suitability for products and strategies
- Regulatory Compliance
- Adhere to KYC (Know Your Customer), AML (Anti-Money Laundering), and privacy regulations
- Monitor for suspicious activity and ensure proper reporting
Function 2: Supervise Sales Practices and General Trading Activities
- Sales Supervision
- Monitor recommendations made by registered representatives
- Ensure proper disclosures and suitability assessments
- Oversee sales of mutual funds, municipal securities, variable products, and more
- Trading Oversight
- Supervise trade execution and order handling
- Ensure compliance with trade reporting and settlement rules
- Monitor for prohibited practices such as front-running or manipulation
- Complaint Handling
- Investigate and resolve customer complaints
- Maintain complaint records and escalate when necessary
Function 3: Supervise Communications with the Public
- Advertising and Sales Literature
- Review and approve retail and institutional communications
- Ensure materials are fair, balanced, and not misleading
- Digital and Social Media
- Monitor use of websites, email, and social platforms
- Ensure compliance with FINRA and SEC rules
- Recordkeeping
- Maintain records of communications and approvals
- Ensure proper disclosures are included in all materials
Function 4: Supervise the Activities of Associated Persons
- Personnel Oversight
- Supervise daily activities of registered representatives
- Ensure proper licensing and registration
- Monitor continuing education and training
- Conduct and Ethics
- Address violations, complaints, and disciplinary actions
- Promote ethical standards and compliance culture
- Documentation and Reporting
- Maintain supervisory records and personnel files
- Ensure timely reporting of changes and disclosures to regulators
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