Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise sales activities in corporate, municipal, and option securities; investment company products; variable contracts; and direct participation programs. The exam covers hiring, qualification, and continuing education; supervision of accounts and sales activities; conduct of associated persons; recordkeeping requirements; and municipal securities regulation. All candidates must have passed the Series 7 Exam before taking the Series 10.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 10 Exam Review 2015 arms you with everything you need to pass this four-hour, 145-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:
- Dozens of examples
- Assorted practice questions for each subject area covered in the exam
- Priceless test-taking tips and strategies
- Helpful hints on how to study for the test, manage stress, and stay focused
Wiley Series 10 Exam Review 2015 is your ticket to passing the Series 10 test on the first try—with flying colors!
Keywords: General Finance & Investments, FINRA, series 10, Series 10, General Securities Sales Supervisor Qualification Examination, Municipal Securities Regulation, FINRA, New York Stock Exchange, Securities and Exchange Commission rules, Chicago Board Options Exchange, NASDAQ, The Securities Institute of America