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
$70 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
$110 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 |
|
|
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
2,000 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
9 simulated exams
-
a Regulations
Finals book,
with 9 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
|
CD of Final Exams
$150.00
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 Nine
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 only.
|
 Save
$75
Series 9 and 10 Exam
Study Text and CD
|
STUDY TEXT
and CD
$450.00
CD is Windows Only!
|
|
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