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
Lessons unlock with an active SWA Learner or Advisor subscription.
See plansScenario Tutor
Sign in with a free profile to ask the tutor about Series 10. Sign in
Practice exam
Practice exams are study aids only — they are not regulatory credit. FINRA CE Sponsor and NASBA accreditation pending.