Series 10


Series 10 – General Securities Sales Supervisor – General

The Series 10 Exam is a principal level FINRA exam that, along with the Series 9 Exam, qualifies an individual to supervise sales activity in full range of investment products, including municipal securities and options. While this exam does NOT qualify individuals to supervise investment banking, it fulfills the qualification requirement to be a branch office manager.

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Series 10 Exam Details

Exam Format: 145 multiple-choice questions
Exam Duration: 4 hours (240 minutes)
Passing Score: 70%

Prerequisite: SIE + Series 7
Corequisite: Series 9
Broker-dealer Sponsorship: required

Series 10 Exam Outline

FUNCTION DESCRIPTION Percentage of Exam No. Questions
Function 1: Supervise Associated Persons and Personnel Management Activities 19% 28
Function 2: Supervise the Opening and Maintenance of Customer Accounts 34% 49
Function 3: Supervise Sales Practices and General Trading Activities 36% 52
Function 4: Supervise Communications with the Public 11% 16
TOTAL 100% 145

No Pass/No Pay

Candidates who correctly complete our program and achieve our designated “Green Light” average score on their practice final exams go on to pass their actual FINRA/NASAA exams. We are so confident that we offer candidates a “NO-PASS, NO-PAY” guarantee. We will refund full tuition to any “Green Light” student who does not pass their actual FINRA/NASAA exam.*

*The NRS Exclusive NO-PASS, NO-PAY Guarantee: To qualify for a refund, you must complete all course materials: Read all modules, attend all tutorials, take all quizzes and tests, and achieve an average score on your first attempt final exams of 3% over the passing score requirement for your FINRA/NASSA exam. Refund applies to online course fees only.

Test Center

Prometric is the sole vendor delivering all FINRA-administered exams. Prometric facilities are located in most cities. To schedule an exam, contact Prometric at

If your local test center does not have favorable availability, consider testing in a neighboring city. Ask about parking when you schedule your exam.
Candidates must present valid, current, government issued photo identification. This includes

  • Passport
  • Driver’s License
  • Military ID

Student IDs are NOT accepted by Prometric.