If you work for a securities dealer or brokerage and want to move up the corporate ladder, then you need to pass the Series 9/10 Exam. This exam is designed for general securities sales managers and supervisors whose duties include the oversight of all branch activities.

Know the perquisites. You must have a current and valid Series 7 license in order to take the Series 9/10 Exam.

Identify how many questions are on the Series 9/10 Exam. This exam consists of 200 questions to be completed within five hours and fifty minutes.

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Study the Series 9 topics: Options Strategies, Business Conduct, Customer Accounts and Contract Characteristics.

Recognize the Series 10 topics: Municipal Securities, Rule Making Board Rules, Sales Supervision, Customer Accounts, New Issues, Trading Markets, Investment companies, Retirement Plans and Financial Responsibility.

Plan on studying Options supervision, Municipal supervision and Primary and Secondary markets as well, as those subjects are included in this exam.

Tips

  • The recommended time frame to take the Series 9/10 Exam is within five months from the time you begin studying.
  • Purchase study materials such as study guides and CD-ROMs to make sure you study all of the necessary subjects.

Warnings

  • You must receive an overall score of at least 70 percent to pass the Series 9/10 Exam.
  • You must wait 30 days before you are eligible to retake the exam if you fail it one or two times. You must wait six months to retake the exam if you have failed it three or more times.

Things Needed

  • Series 7 License
  • Series 9/10 study guides and materials

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