Securities Exam Prep Series 9/10
FINRA Series 9/10 Exam Prep
ExamFX has created a comprehensive online Series 9 and 10 training program to ensure candidates are prepared to pass their exam on the first attempt.
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Series 9/10 Training Package Information
We offer a flexible solution and package designed to help candidates pass their Series 9 and 10 exam. Our training provides a variety of helpful study tools that prepares candidates for success.
PACKAGE INFORMATION
What is the Series 9/10 registration?
The Series 9 and 10 exam assesses the ability of an entry-level principal
to perform their job as a securities sales supervisor.
In order to obtain a Series 9/10 registration, you must pass the General Securities Sales Supervisor exams administered by FINRA (Financial Industry Regulatory Authority).
VIEW FINRA SERIES 9/10 EXAM CONTENT OUTLINE
About the Series 9/10 Exam
What are the topics covered on the Series 9/10 Exam?
The Series 9 and 10 exam is designed to determine whether an individual meets the FINRA's qualification standards for a general securities sales supervisor.
The Series 9 exam consists of 55 scored questions and is broken down into the following sections:
- Federal Regulations (4%)
- General Supervision (23%)
- Sales Supervision (25%)
- Origination and Syndication (23%)
- Trading (10%)
- Operations (15%)
The Series 10 exam consists of 145 scored questions and is broken down into the following sections:
- Supervise Associated Persons and Personnel Management Activities (20%)
- Supervise the Opening and Maintenance of Customer Accounts (33%)
- Supervise Sales Practices and General Trading Activities (36%)
- Supervise Communications with the Public (11%)
See below for more detailed breakdown or visit FINRA.
Series 9
Function 1: Supervise the Opening and Maintenance of Customer Options Accounts
- Reviewing new account documentation to determine if approval is appropriate
- Reviewing recommended customer options trading activities to determine if strategies meet applicable standards
- Reviewing margin accounts to confirm proper handling and timely adherence to margin requirements
Function 2: Supervise Sales Practices and General Options Trading Activities
- Identifying and reviewing customer complaints and take appropriate actions
- Overseeing the correction of options trade errors
- Reviewing daily trade activity for completeness of records or exceptions
- Monitoring the general operational process of options trades
Function 3: Supervise Options Communications
- Reviewing options retail communications and determining appropriate approval
- Reviewing incoming and outgoing options correspondence including approval where required
- Reviewing options institutional communication and determining appropriate approval
Function 4: Supervise Associated Persons and Personnel Management Activities
- Maintaining marketplace and associated product and regulatory knowledge
Series 10
Function 1: Supervise Associate Persons and Personnel Management Activities
- Verifying the qualifications of newly hired associated persons
- Reviewing and maintaining associated persons' registrations and disclosures
- Supervising associated persons and taking corrective actions as appropriate
- Maintaining marketplace and associated product and regulatory knowledge
- Conducting branch office inspections and managing the delegation of duties
Function 2: Supervise the Opening and Maintenance of Customer Accounts
- Reviewing new account documentation to determine if approval meets applicable standards
- Reviewing customer account transactions, distributions and account transfer for appropriateness
- Reviewing margin accounts to confirm proper handling and timely adherence to margin requirements
- Overseeing administrative maintenance of customers' accounts
Function 3: Supervise Sales Practices and General Trading Activities
- Identifying and reviewing customer complaints and taking appropriate actions
- Overseeing the correction of trade errors
- Reviewing daily trade activity for completeness of records or exceptions
- Reviewing trading activity in employees' internal and external accounts
- Supervising sales practices of products
Function 4: Supervise Communications with the Public
- Overseeing telemarketing practices
- Reviewing retail communications and determining appropriate approval
- Reviewing incoming and outgoing correspondence including approval where required
- Reviewing institutional communication and determining appropriate approval
FINRA Series 9/10 Exam Details
The Series 9 exam consists of 55 multiple-choice questions. Candidates are given 1 hour and 30 minutes to complete the exam and must achieve a 70% to pass. The cost of the exam is $80.
The Series 10 exam consists of 145 multiple-choice questions. Candidates are given 4 hours to complete the exam and must achieve a 70% to pass. The cost of the exam is $125.
What is the ExamFX Guarantee Exam?
ExamFX is so confident in our training program that we guarantee users who successfully complete the Guarantee Exam will pass their licensing exam on their first attempt! If you do not pass your licensing exam within three days after scoring 80% or higher on the Guarantee Exam, we will refund the cost of your course. It is that simple. Some restrictions may apply.