The series 10 exam is administered by FINRA and is required in addition to the series 9 exam to qualify a person as a General Securities Sales Supervisor. It is recommended that candidates spend at least 60 hours preparing for the exam . The series 10 material has been provided by The Securities Institute to help Investopedia visitors prepare for the exam.



Guidelines for the practices that a brokerage firm uses to conduct the operation of its daily business are regulated by industry, state, and federal regulators. These guidelines are the foundation for the way that the firm handles all business, from hiring a new agent to executing a customer’s order. All Series 10 candidates must have a full understanding of a brokerage firm’s operations and procedures to successfully complete the exam.





HIRING NEW EMPLOYEES

Related Articles
  1. Financial Advisor

    What is the Series 66?

    The Series 66 exam is one of two tests required to register as both a securities agent and an investment advisor.
  2. Financial Advisor

    Understanding Series 6

    Upon successful completion of the Series 6, an individual will have the qualifications needed to sell open end mutual funds and variable annuities
  3. Financial Advisor

    Understanding Series 63

    Series 63 is a securities license that entitles the holder to sell securities in a particular state.
  4. Financial Advisor

    Tips For Passing The Series 6 Exam

    Find out what you can do during the test to make sure you get a passing score.
  5. Financial Advisor

    How Hard are the CFA Exams?

    Learn about the difficulty of the CFA exams with a description of the tests, some statistics on pass rates and suggestions that can help you pass the exams.
  6. Personal Finance

    Prepare For Your CFA Exams

    Find out how to get yourself ready for these lengthy and often daunting exams.
  7. Financial Advisor

    Series 24 Exam Prep: Stock Exchanges

    Before you take the series 24, you need to understand exchanges, listing requirements and much more.
  8. Financial Advisor

    Pass Your CFA Exams on the First Try

    Become one of the elite who pass these exams by using these simple study methods.
  9. Personal Finance

    The Securities Industry Essentials Exam (SIE)

    The Securities Industry Essentials Exam (SIE) is a new exam being introduced by FINRA to replace parts of the Series 6, Series 7, Series 22, Series 55 (57), Series 79, Series 82, Series 86/87, ...
  10. Investing

    Is The Series 24 Exam Hard?

    What makes the series 24 so challenging? The exam focuses very heavily on the supervision of trading and market making and the supervision of investment banking.
Frequently Asked Questions
  1. Depreciation Can Shield Taxes, Bolster Cash Flow

    Depreciation can be used as a tax-deductible expense to reduce tax costs, bolstering cash flow
  2. What schools did Warren Buffett attend on his way to getting his science and economics degrees?

    Learn how Warren Buffett became so successful through his attendance at multiple prestigious schools and his real-world experiences.
  3. How many attempts at each CFA exam is a candidate permitted?

    The CFA Institute allows an individual an unlimited amount of attempts at each examination.Although you can attempt the examination ...
  4. What's the average salary of a market research analyst?

    Learn about average stock market analyst salaries in the U.S. and different factors that affect salaries and overall levels ...
Trading Center