The Series 10 Exam is intended to test a candidates knowledge securities industry rules and certain statutory provisions applicable to the supervision of sales activities at a branch office. A candidate for this examination must satisfy the prerequisite that normally is registration as a general securities representative.
Consisting of 150 questions to be taken over the course of 240 minutes, a passing score of 70.3% positions a candidate to satisfy the requirements of the Chicago Board Options Exchange, FINRA, Municipal Securities Rulemaking Board, NASDAQ OMX PHLX, NYSE Amex, and NYSE ARCA (jointly referred to as SROs,) allowing them to effectively supervise sales activities in corporate, municipal and option securities, investment company products, variable contracts, and direct participation programs.
Subject matters covered by the exam include:
- Supervision of Associated Persons and Personnel Management Activities
- Supervision of the Opening and Maintenance of Customer Accounts
- Supervision of Sales Practices and General Trading Activities
- Supervision of Communications with the Public
Pass with NRS FIRE and the “Green Light” plan
Backed by our exclusive “Green Light” plan and designed to maximize your chances of passing your exam, NRS FIRE’s Series 10 Exam Prep provides you with the tools, knowledge and expertise you need to pass this exam. Topics covered in this exam prep course include:
- Registration and Representative Obligations
- Securities and Exchange Commission
- Business Conduct and Prohibited Practices
- Customer Accounts
- Customer Complaints and Arbitration
- Margin and Short Selling
- Books and Records