FINRA Series 9/10 prep for general securities sales supervisors exam help

The Series 9 and Series 10, General Securities Sales Supervisor Qualification Exams, assess whether an entry-level principal can supervise sales activities, customer accounts, sales and supervisory personnel, communications, records, options accounts, and general trading activity. FINRA lists Series 10 as 145 scored multiple-choice items with 4 hours of testing time, and Series 9 as 55 scored multiple-choice items with 1 hour and 30 minutes of testing time. Each exam has a 70% passing score. The current content outline also adds unidentified pretest items, so candidates should account for the full delivered exam length when practicing. Candidates must be associated with and sponsored by a FINRA member firm or other applicable SRO member firm for principal-level exams, and must pass SIE plus Series 7 to hold the General Securities Sales Supervisor registration. FINRA's Series 10 outline allocates 28 items to associated persons and personnel management, 49 to customer account opening and maintenance, 52 to sales practices and general trading, and 16 to communications with the public. Series 9 allocates 18 items to options account opening and maintenance, 19 to options sales practices and trading, 5 to options communications, and 13 to associated persons and personnel management. HiraEdu builds Series 9/10 preparation around sales supervision, branch manager scope, options account approval, communications review, customer account controls, trading supervision, personnel management, records, municipal and options boundaries, and Prometric scheduling readiness.