Series 9 and 10 Exams 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 examination by FINRA
(NASD and NYSE), the various options exchanges, and the MSRB (Municipal
Securities Board).
The test covers topics in the Series #4,
#24, and #53 exams.
- Series 9 General Securities Sales Supervisor
Options Module (formerly Part I of the Series 8)
Prerequisite
Series #7
$60 test fee (Form U-4)
1.5 hours
- Series 10 General Securities Sales Supervisor
General Module (formerly Part II of the Series 8)
Prerequisite Series #7
$100 test fee (Form
U-4)
4 hours
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 |
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|
Total 200 questions |
Series 9 and 10 Exam Study Text
|
STUDY TEXT
For the set
Series 9 and
Series10
$375.00
|
This two-volume 3-ring binder set contains 900+ pages
with over 1,500 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 7 simulated exams
-
a Regulations Finals book, with 7 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.
Check Out/View Cart
|
Series 9 and 10 Exam CD-ROM
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CD ROM of
Final Exams $150.00
|
The Series 9 & 10 CD of Final Exams is a
supplement to the study program (or any other materials that you may
have!). The CD consists of Seven Final Exams for the Series 9
section and Nine 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 CD expires
after a certain time-period from the date of purchase -- you should take the
#9-10 exam within 120 days of buying the CD.
Windows 95 and higher.
 |
 Save
$75
Series 9 and 10 Exam Study Text and CD-ROM
|
STUDY TEXT
and CD ROM
$450.00
|
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