Securities Exam Prep Series 9/10

Series 9 and 10 securities prelicensing program

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


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90 Days Course Access
Interactive Learning Portal
Online Exam Simulations
Readiness Exam
Guarantee Exam
Instructor Support
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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:

The Series 10 exam consists of 145 scored questions and is broken down into the following sections:

See below for more detailed breakdown or visit FINRA.

Series 9

Function 1: Supervise the Opening and Maintenance of Customer Options Accounts

Function 2: Supervise Sales Practices and General Options Trading Activities

Function 3: Supervise Options Communications

Function 4: Supervise Associated Persons and Personnel Management Activities

Series 10

Function 1: Supervise Associate Persons and Personnel Management Activities

Function 2: Supervise the Opening and Maintenance of Customer Accounts

Function 3: Supervise Sales Practices and General Trading Activities

Function 4: Supervise Communications with the Public

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.

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