Series 9/10 Test Breakdown

Are you currently a stock broker or registered representative who'd like to move up the management ladder in your brokerage firm? If so, you'll need to pass the General Securities Sales Supervisor Qualification Exam, commonly referred to as Series 9/10. By passing this test, you'll be qualified to become a supervisor or branch manager at a securities trading firm. As a licensed broker who's passed the Series 7 exam, you're already qualified to take the test, which is administered by the Financial Industry Regulatory Authority (FINRA) and given at test centers all over the country on weekdays and Saturdays. It's a two part test with a total of 200 multiple choice questions, which takes a total of five and a half hours to complete. You may take both Series 9 and Series 10 at the same time, or on different dates. The total cost for both tests is $160. You can't bring a calculator, but if you need one the testing center will provide it. To pass you'll need to answer at least 70% of the questions correctly.

Series 9 takes an hour and a half to complete, and it consists of 55 questions of laws and regulations concerning options trading. You'll be allotted 4 hours to take the Series 10 exam, which consists of 145 questions on different topics, including hiring qualified employees, the professional conduct and ethics they're required to follow while working under you, record keeping, and municipal securities. But the biggest section by far of the Series 9/10 exam is about supervising accounts and sales activities of the employees you're responsible for-this section contains 94 questions, almost half of the total. The Series 9/10 Exam is a challenge, but since you've already passed the Series 7, there's no reason you can't pass this one with study and hard work.

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Series 9/10 Test Breakdown