Series 9 and 10 Securities Exam – General Securities Sales Supervisor

Any person who manages or supervises the daily activities of a NYSE-member broker/dealer’s sales staff is required to take this Series 9-10 Securities Exam by FINRA and NYSE, the various options exchanges, and the MSRB (Municipal Securities Board). The test covers topics in the Series #4, Series #24, and Series #53 exams.

  • Series 9 General Securities Sales Supervisor
    • Options Module (formerly Series 8 Part I)
    • Prerequisite Series #7
    • $80 test fee (Form U-4)
    • 1.5 hours
  • Series 10 General Securities Sales Supervisor
    • General Module (formerly Series 8 Part II)
    • Prerequisite Series #7
    • $125 test fee (Form U-4)
    • 4 hours

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
Part I – Regulation of Options: Option Strategies; Contract Characteristics; Customer Accounts; Business Conduct 55
Part II – Securities Supervision: Sales Supervision; Customer Accounts; News Issue markets/Trading Markets; Investment Companies/Retirement Plans/Financial Responsibility; MSRB Rules 145
***Total Questions*** ***200***


Series 9 and 10 General Securities Sales Supervisor Exam Study Products:

Series 9 & 10 – Exam Study Books

This two-volume 3-ring binder set contains 900+ pages with over 3,000 simulated examination questions with detailed explanations. After each section of the text, simulated test questions let you know your mastery of the material.

Added to the binder program are:

  • an Options Finals book, containing 11 simulated exams
  • a Regulations Finals book, with 11 simulated exams.

A “Quick 9/10″ Summary booklet is included!! This study guide compresses the information into a summary review of all the key topics.

$375.00 Add

Study Book - Series 9 & 10 Binder

Study Book – Series 9 & 10 Binder

Series 9 & 10 – DATABANK of Final Exams

The Series 9 & 10 DATABANK of Final Exams is a supplement to the study program (or any other materials that you may have!). The DATABANK consists of Eleven Final Exams for the Series 9 section and Eleven Final Exams for the Series 10 section.

Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

On this single-user system you can take the quizzes as many times as you like, but The DATABANK expires after a certain time-period from the date of purchase — you should take the #9-10 exam within 120 days of buying the DATABANK .

$200.00 Add

DATABANK of Final Exams for Series 9 & 10

DATABANK of Final Exams for Series 9 & 10

Series 9 & 10 – Exam Study Books + DATABANK of Final Exams

Exam Study Books

This two-volume 3-ring binder set contains 900+ pages with over 3,000 simulated examination questions with detailed explanations. After each section of the text, simulated test questions let you know your mastery of the material.

Added to the binder program are:

  • an Options Finals book, containing 11 simulated exams
  • a Regulations Finals book, with 11 simulated exams.

A “Quick 9/10″ Summary booklet is included!! This study guide compresses the information into a summary review of all the key topics.

DATABANK of Final Exams

The Series 9 & 10 DATABANK of Final Exams is a supplement to the study program (or any other materials that you may have!). The DATABANK consists of Eleven Final Exams for the Series 9 section and Eleven Final Exams for the Series 10 section.

Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

$575.00 $450.00 Add

DATABANK and Study Book - Series 9 & 10

DATABANK and Study Book – Series 9 & 10

On this single-user system you can take the quizzes as many times as you like, but the DATABANK expires after a certain time-period from the date of purchase — you should take the #9-10 exam within 120 days of buying the DATABANK.

NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.