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

    Series 65 Exam Prep: The Investment Advisor

    Before you take the series 65, you need to understand who is an investment advisor as defined by the exam.
  2. Financial Advisor

    Pass Your CFA Exams on the First Try

    Less than 20% of those who begin the Chartered Financial Analyst (CFA) designation reach the end. Become one of the elite who pass on the first try by using these simple study methods.
  3. Financial Advisor

    Succeeding At The Series 63 Exam

    Your career as a securities agent begins with this test. We'll show you how to score high.
  4. 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, ...
  5. Personal Finance

    Tips for Taking the CFA Exam: Part 1

    Peter Mackey, head of exam development for the CFA Institute, shares his tips for taking the CFA level I, II and III exams.
  6. Personal Finance

    Tips for Taking the CFA Exam: Part 2

    Peter Mackey, head of exam development for the CFA Institute, shares his tips for passing the CFA level I, II and III exams.
  7. Personal Finance

    Tips for Taking the CFA Exam: Part 3

    Investopedia spoke with Peter Mackey, the head of exam development for the CFA Institute.
  8. Financial Advisor

    Series 66 Exam Prep: The Broker-Dealer

    Before you take the series 66, you need to understand civil liabilities.
  9. Personal Finance

    Swim With the Sharks as a Stockbroker

    Learn why a job as a stockbroker takes guts, hard work and instincts. Find out what it takes to work as a registered representative selling securities.
  10. Financial Advisor

    Should you add a securities license to your qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of work. Learn if the stress and study are worth it.
Frequently Asked Questions
  1. When Is a Put Option Considered to Be 'in the Money?'

    Learn about put options, how these financial derivatives work and when put options are considered to be in the money related ...
  2. What Are Some of the Top Hostile Takeovers of All-Time?

    Learn about some of the most noteworthy hostile takeovers in history, including the KKR acquisition of RJR Nabisco and the ...
  3. What is the difference between cost and price?

    Cost is typically the expense incurred for a product or service being sold by a company. Price is the amount a customer is ...
  4. Do stocks have a negative price-to-earnings ratio?

    A stock can have a negative price-to-earnings ratio (P/E). A negative P/E ratio means the company has negative earnings or ...
Trading Center