Series 9/10

AAA

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.

INVESTOPEDIA EXPLAINS '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.

RELATED TERMS
  1. Series 23

    An exam offered by the Financial Industry Regulatory Authority ...
  2. Series 28

    An exam given by the Financial Industry Regulatory Authority ...
  3. Series 63

    A securities license entitling the holder to solicit orders for ...
  4. Series 6

    A securities license entitling the holder to register as a limited ...
  5. Series 7

    A general securities registered representative license administered ...
  6. Series 65

    A securities license required by most U.S. states for individuals ...
Related Articles
  1. Retirement

    What's the difference between a financial advisor and a financial planner?

    Seeking professional advice from a financial advisor may involve asking for financial help from a certified financial planner, stockbroker or an accountant.
  2. Credit & Loans

    Who is eligible to take out federal student loans?

    Fill out the Free Application for Federal Student Aid every year to determine eligibility for federal aid, including student loans.
  3. Fundamental Analysis

    How should a change in accounting principle be recorded and reported?

    Learn about changes in accounting principle and why businesses make them, as well as the reporting and recording requirements that accompany these changes.
  4. Retirement

    What are some examples of how I could use my IRA savings for college?

    Use your traditional IRA for qualified college expenses for you or your family. The retirement funds can be used for books, tuition and fees.
  5. Professionals

    Do real estate agents need a degree?

    Earning a degree is required by many real estate brokerages, as well as by some state's real estate boards. Getting a degree makes agents more competitive.
  6. Retirement

    Become A Certified Financial Divorce Analyst

    Use your financial knowledge to help people preserve their financial integrity after a failed marriage.
  7. Personal Finance

    How To Become A Corporate Board Member

    We look at how corporate boards are constructed, and how investors can get involved.
  8. Savings

    Are Equity-Indexed Annuities Right For You?

    Equity-indexed annuities can be confusing to understand, but for conservative investors, they can be valuable savings plans.
  9. Personal Finance

    Top 6 Ways To Recession-Proof Your Job

    In a recession, financial industry personnel are often hit hard. Find out how to avoid getting the ax.
  10. Investing Basics

    Picking Your First Broker

    If you're a rookie investor, your first big investment decision should be an informed one.

You May Also Like

Hot Definitions
  1. Prospectus

    A formal legal document, which is required by and filed with the Securities and Exchange Commission, that provides details ...
  2. Treasury Bond - T-Bond

    A marketable, fixed-interest U.S. government debt security with a maturity of more than 10 years. Treasury bonds make interest ...
  3. Weight Of Ice, Snow Or Sleet Insurance

    Financial protection against damage caused to property by winter weather specifically, damage caused if a roof caves in because ...
  4. Weather Insurance

    A type of protection against a financial loss that may be incurred because of rain, snow, storms, wind, fog, undesirable ...
  5. Portfolio Turnover

    A measure of how frequently assets within a fund are bought and sold by the managers. Portfolio turnover is calculated by ...
  6. Commercial Paper

    An unsecured, short-term debt instrument issued by a corporation, typically for the financing of accounts receivable, inventories ...
Trading Center