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Revised:  5/8/2014

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Series 9 and 10 - General Securities Sales Supervisor

Series 9 and 10 - Man on PhoneThe series 9/10 (formerly called the series 8) is required of individuals who supervise sales activities in corporate securities, municipal bonds, U.S. Government securities, options, direct participation programs, investment company products, and variable contracts.  The series 24 does not substitute for the series 9/10.  The series 9/10 does not qualify an individual to supervise other functions besides sales.

Prerequisite:  Series 7

The test is made up of 200 questions.  Each student will be given a total of 5 hours and 30 minutes for the exam.  

 

 

 

 

 

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