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

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