These exams are administered by the Financial Industry Regulatory Authority (FINRA)(previously the National Association of Securities Dealers (NASD)). Successful completion of both the Series 9 and 10 examinations will qualify an individual to act as a principal who supervises sales for a general securities firm.Get Series 9/10 Study Books and CD Test Program
For an in-depth breakdown of the below topics, refer to the PDF study outline provided by FINRA here.