Series 9/10

The General Securities Sales Supervisor Qualification Examination (Series 9 and 10) is intended to test a candidate’s knowledge of securities industry rules and certain statutory provisions applicable to the supervision of sales activities at a general securities-oriented branch office. The examination question bank and question allocation is developed through a committee of securities industry professionals with experience in retail securities sales.

Please see NASD Rule 1022(g) General Securities Sales Supervisor for more information.

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Series 9/10 Full Catalog