Series 10 Exam Details

The FINRA® Series 10, General Securities Sales Supervisor – General Exam tests a candidate's knowledge of securities rules and regulations in preparing for supervising the sales activities in corporate, municipal and options securities, and more. Individuals must pass the Series 9 and the Series 10 exams to be qualified to supervise the purchase and sale of nonexempt securities.

 

Series 7

145 multiple-choice questions

4 hours

Outline of Topics Covered

  • Hiring, Qualifications, and Continuing Education
  • Supervision of Accounts and Sales Activities
  • Conduct of Associated Persons'
  • Recordkeeping Requirements
  • Municipal Securities Regulation

 

Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.

 

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

 

Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

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Begin Preparing for the Series 10 Exam

BasicPlus Package

OnDemand Online Class

The BasicPlus Self-Study Package allows you to study through guided instruction on a schedule that works best for you. Plan your study time with a customizable study calendar and access OnDemand videos with Class Notes during recommended times throughout your study program.

Basic Package

Self-Study Option

The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Calendar based on your schedule and exam date.