Series 9/10 General Securities Sales Supervisor Qualification Examination Test Preparation Study Guide
The Series 9/10 examination was developed by the Financial Industry Regulatory Authority (FINRA). It is conducted by Pearson VUE and Prometric Testing Corporation on behalf of FINRA. The purpose of the exam is to test a candidate's knowledge of securities industry rules and certain statutory provisions applicable to the supervision of sales activities.
Format Of The Series 9/10 General Securities Sales Supervisor Qualification Exam:
The General Securities Sales Supervisor Qualification Exam consists of total 200 multiple-choice questions. Of these the Series 9 exam consists of 55 questions while Series 10 exam consists 145 questions. The content covered in both the exams is as follows:
Series 9:
Options RegulationThis section contributes approximately 55 questions to the examination.The candidates are given 1 and a half hours to complete this exam.
Series 10:
Hiring, Qualifications, and Continuing EducationThis section contributes approximately 9 questions to the examination.
Supervision of Accounts and Sales Activities
This section contributes approximately 94 questions to the examination.
Conduct of Associated Persons
This section contributes approximately 14 questions to the examination.
Municipal Securities Regulation
This section contributes approximately 20 questions to the examination.
The candidates are given 4 hours to complete this exam.
Study Guide And Preparation Tips For Series 9/10 General Securities Sales Supervisor Qualification Examination
A Complete Series 9/10 General Securities Sales Supervisor Qualification study guide that includes sample questions, test tips and a complete study plan prepared by a team of expert and dedicated researchers. Cost-effective and qualified exam help from a committed exam preparation company.
Series 9/10 Study Guide (printed book)
Series 9/10 Study Guide (ebook download)
Series 9/10 Exam Flashcard Study System
How to Prepare for Multiple Choice Questions
Tips and tricks that can help you prepare for multiple choice questions and increase your mark. Prepared by professionals these tricks help you excel in Series 9/10 General Securities Sales Supervisor Qualification multiple choice exam.
