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Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

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
    $75 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
    $120 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.
Part II - Securities Supervision
Sales Supervision, Customer Accounts, News Issue markets / Trading Markets, Investment Companies / Retirement Plans / Financial Responsibility, MSRB Rules
Total 200 questions

Series 9 and 10 Exam Study Text

For the set
Series 9 and


9-10 book

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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. 

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Series 9 and 10 Exam  CD

CD of Final Exams

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Windows Only!

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 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 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 only.

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Series 9 and 10 Exam Study Text and CD

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CD is Windows Only!

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