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Series 9 and 10 Exam Details

Series 9 Exam Details

The FINRA® Series 9, General Securities Sales Supervisor – Options 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

55 multiple-choice questions

1 hour, 30 minutes

Outline of Topics Covered

  • Options Regulation

 

Additional Details

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

 

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

 

Additional Details

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

 

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.

 

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Begin Preparing for the Series 9 and 10 Exams

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Self-Study Options

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.