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The Series 10 exam (or General Securities Sales Supervisor Qualification Examination Part 1) is an essential test administered by FINRA (Financial Industry Regulatory Authority) for any financial professional interested in earning certification as a Sales Supervisor. If you are preparing for this exam, Varsity Tutors can help you find an experienced Series 10 tutor to assist you.
The Series 10 is a computer-based exam comprised of 145 multiple-choice questions administered over four hours. Topics include Supervising Associated Persons and Personnel Management Activities (28 questions), Supervising the Opening and Maintenance of Customer Accounts (49 questions), Supervising Sales Practices and General Trading Activities (52 questions), and Supervising Communications With the Public (16 questions). You must pass the Series 7 before sitting for the Series 10.