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What is the series 9 exam?

The Series 9 Exam is a principal level licensing exam that focuses on options supervision and designates a person as a General Securities Sales Supervisor. However, to become a Sales Supervisor, a person is required to pass both the Series 9 and Series 10 Exams.

What is a 'series 9/10'?

What is a 'Series 9/10'. Series 9/10 refers to a two-part securities exam and license entitling the holder to supervise sales activities at a general securities-oriented branch office.

What is the FINRA series 9 exam?

The FINRA ® Series 9, General Securities Sales Supervisor – Options Exam tests a candidate's knowledge of securities rules and regulations in preparing for supervising the sales activities in corporate, municipal and options securities, and more.

What is a series 9/10 license?

Series 9/10 refers to a two-part securities exam and license entitling the holder to supervise sales activities at a general securities-oriented branch office. Before taking the Series 9/10 Exams, also known as the General Securities Sales Supervisor Qualification Exams, a candidate must have a Series 7 license. 1


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