Series 9/10 Exam: General Securities Sales Supervisor

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

Exam Details

Time Limit: 5 hours 30 minutes
Number of Questions:
  • 200 Questions:
  • 55 questions for Series 9
  • 145 questions for Series 10
Cost: Series 9: $75.00 as of August 2012.
Series 10: $120.00 as of August 2012.
Note that these are the qualification examination fees only, please visit the FINRA registration/exam fee schedule for more information.
Passing Score: 70% for both exams
Format: Multiple Choice
Prerequisites: You must have a Series 7 license.
Exam Date(s): Any weekday
Exam Locations: Find your U.S. or international exam center here
Offical Exam Website: http://www.finra.org


Exam Topic Weights

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.

Series 9/10 Exam Topic Weights By Section




Financial Professionals
  1. Is an online adviser right for you? As with most questions in financial planning, the answer is 'it depends.' Here are a few thoughts to consider.
    Professionals

    Is An Online Financial Advisor Right For You?

  2. Should you delay taking your Social Security benefits? As with most things in the financial planning world the answer is: 'it depends.'
    Professionals

    Social Security: To Delay Or Not To Delay?

  3. Financial advisory practices are built on high-net-worth clients. Here are a few general rules on how to attract and keep them.
    Professionals

    High-Net-Worth Clients: One Size Does Not Fit All

  4. The total cost of a university education continues to outpace inflation. For some degrees, that expense isn't likely to pay off.
    Personal Finance

    Is An American College Education Still Worth It?

  5. Many of us fantasize about winning a big lottery jackpot. Let’s say that actually happened? What would you do with the money? How would you manage it?
    Professionals

    Tips For Managing A Cash Windfall

Trading Center