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
This examination was extensively revised in mid-2006, and now includes many questions that require the proper interpretation of "grey area" situations. Our materials have been revised to reflect this new exam emphasis.
The Self Study program consists of a 2 volume text, covering the following subjects:
Volume I - Options
- Options Strategies
- Contract Characteristics
- Customer Accounts
- Business Conduct
Volume II - Regulations
- Sales Supervision
- Customer Accounts
- New Issue Markets / Trading Markets
- Investment Companies / Retirement Plans / Financial Responsibility
- MSRB Rules
After each section of the text, simulated test questions with detailed explanations give the user immediate feedback on his level of understanding. Separate from the text books are an Options Finals book, containing 9 simulated Options Finals; and a Regulations Finals book, with 9 simulated Regulations Finals.
This includes the Quick 9/10 Study Guide which compresses the information in the full 900 page Series 9/10 text into a 250 page summarized review. The Study Guide makes an excellent final review prior to taking the actual exam.
Designed to complement our Self Study Books, the Series 9/10 Exam Databank is a convenient and effective method of testing a student's overall comprehension of the material. Using Databank software prepares the candidate for the actual test by presenting practice questions of similar complexity to that of the real exam.
The program consists of 9 Final Exams for both Series 9 and Series 10. 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.
And is available in the following versions:
On-line - can be downloaded on up to 3 PC's (not apple/mac compatible)
Web-Based - direct sign on into website from any device, is apple/mac compatible.
CD-Rom - System requirements:
- 7 MB of hard disk space
- Windows 95, 98, Me, NT, 2000, XP or Vista
- 16 MB ram
- color monitor
Self Study Books
Series 9 text
Series 10 text
Options Finals book
Regulations Finals book
Quick 9/10 Study Guide
Series 9/10 Databank