FINRA · License Prep

Series 10

General Securities Sales Supervisor — General Module

The general module of the supervisor pair. Covers branch office supervision, hiring/registration, sales practice, and trading rules. Series 9 + 10 together qualify a general securities sales supervisor.

Questions

145

Time limit

240 min

Pass score

70%

State fee

$80

Topics covered

Hiring, qualifying, training, supervising registered persons
Form U4/U5, fingerprinting, CE.
Sales practices & general supervision
Account opening, suitability/Reg BI, communications.
General supervision of trading activities
Best execution, trade reporting (TRACE/OATS/CAT), error correction.
Recordkeeping & reporting
Books & records rule, retention periods.

Lessons

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Practice exam

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Practice exams are study aids only — they are not regulatory credit. FINRA CE Sponsor and NASBA accreditation pending.