Series 9/10 Exam: General Securities Sales Supervisor

These exams are administered by the Financial Industry Regulatory Authority (FINRA). 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.
 

Exam Details

 
Time Limit:
  • 90 minutes for Series 9
  • 240 minutes for Series 10
Number of Questions:
  • 55 questions for Series 9
  • 145 questions for Series 10
Cost: Series 9: $80.00 as of August 2012.
Series 10: $125.00 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

 

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