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Series 9/10 - FINRA/NYSE Branch Manager / FINRA/NASD General Sales Supervisor
The Series 9/10 exam is accepted by FINRA/NYSE member firms to license branch managers to supervise branch activities. In some cases this exam is accepted by the FINRA/NASD for supervision of sales activities. The prerequisite examination is the Series 7.

The Series 9/10 General Securities Sales Supervisor examination is segmented into two portions:
  • Series 9 - 55 questions on Options, to be completed within 1 ½ hours
  • Series 10 - 145 questions covering Federal Regulations, FINRA/NASD Rules, FINRA/NYSE Rules, MSRB Rules, to be completed in 4 hours
Save $75 ($525 value)... $450
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