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.

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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:

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
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