Series 9 & Series 10 Class


The General Securities Sales Supervisor Qualification Examination (Series 9 and 10) is intended to test a candidate’s knowledge of securities industry rules and certain statutory provisions applicable to the supervision of sales activities at a general securities-oriented branch office. The examination question bank and question allocation is developed through a committee of securities industry professionals with experience in retail securities sales.

The Series 9/10 Examination contains 200 multiple-choice questions.

Passing Score: 70 % for each subject



The Series 9/10 Examination is designed to assess the competency of General Securities Sales Supervisors in the following fields:

  • Sale of Corporate Securities
  • Rights
  • Warrants
  • Closed-End Funds
  • Money Market Funds
  • REITs
  • Asset-Backed Securities
  • Mortgage Backed-Securities (Corporate)
  • Equity Options
  • Options on (corporate) Backed-Securities
  • Mutual Funds
  • Variable Annuities and Variable Life Insurance
  • Government Securities
  • Repos and Certificates of Accrual on Government Securities
  • Municipal Securities and Municipal Fund Securities
  • Direct Participation Programs

* No Classroom options are currently available, Tutor only! *

Call & Inquire for pricing information: 614-885-2800