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
In order to become a General Securities Sales Supervisor, candidates must successfully complete both Series 9 and 10 exams. They can be taken in any order at any time within their 120-day enrollment period.
