DEFINITION of 'Series 9/10'

A securities license entitling the holder to supervise branch activities. Before taking the Series 9/10 exam, you must have your Series 7 license.

BREAKING DOWN 'Series 9/10'

Covering topics such as the supervision of option, municipal, and government securities sales, and the primary/secondary markets, the Series 9/10 exam is administered by the Financial Industry Regulatory Authority (FINRA).

It was formerly known as the Series 8 exam.

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RELATED FAQS
  1. Do I need to have my Series 7 license for at least 36 months before I take the Series ...

    To write the Series 9/10 examination, you are required to have a Series 7 license. However, you do not have to hold the license ... Read Answer >>
  2. What is the difference between Series 9/10 and Series 24 qualification exams?

    Both Series 9/10 and 24 are the exams that must be completed by a principal before he or she can supervise certain sales ... Read Answer >>
  3. What are the differences between the Series 6 exam and the Series 7 exam?

    Learn about the regulatory exams needed to become a limited or registered representative and the main differences between ... Read Answer >>
  4. If I have passed the Series 7 exam, do I need to write the 6 and 63 exams as well?

    Not always. According to the Financial Industry Regulatory Authority (FINRA), (formerly National Association of Securities ... Read Answer >>
  5. Do financial advisors have to be licensed?

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    Becoming an investment adviser representative requires more examination than just taking the FINRA Series 63 exam. See what ... Read Answer >>
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