Series 9/10

Series #9/10 - Limited Principal/FINRA Branch Manager

About The Series #9/10 Exams


The Series 9/10 exam is required to register as principals to supervise sales activities in corporate, municipal, and options securities, investment company products, variable contracts, and direct participation programs. In addition to branch office managers, regional and national sales managers may also register in this capacity.

The exam is split into two segments: the Series 9, which contains 55 options questions and the Series 10, which has 145 questions covering FINRA, New York Stock Exchange, Municipal Securities Rule Board, and Securities and Exchange Commission rules. Each segment may be taken separately. The testing time is 1 hour and 30 minutes for the Series 9. Four (4) hours are allowed for the Series 10.

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Series 9/10
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