Search results
The Series 9 and 10 qualify the branch manager to supervise sales activities in corporate securities (equity and debt), investment company products and variable contracts, municipal securities, options, government securities and direct participation programs (DPPs).
25 sty 2021 · What Is Series 9/10? Series 9/10 refers to a two-part securities exam and license entitling the holder to supervise sales activities at a general securities-oriented branch office.
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
30 maj 2024 · With 32 different FINRA licenses, each tailored to specific roles and responsibilities, understanding the requirements and expectations for each exam is essential. This detailed guide will walk you through all the FINRA exams, from the introductory Securities Industry Essentials (SIE) exam to the more advanced principal-level and specialty exams.
14 cze 2024 · More than 12 hours of on demand video lectures. 15 videos follow our textbooks. So you know how each topic is tested on the real exam. More than 1,800 Series 10 practice questions with detailed explanations. Showing you how to master difficult questions.
The Series 9/10 exam is the General Securities Sales Supervisor Qualification Examination. The exam is developed and maintained by the Financial Industry Regulatory Authority (FINRA). This content outline provides a comprehensive guide to the topics covered on the Series 9/10 exam.
13 lut 2024 · This post will offer a comprehensive overview of the Series 9 and 10 exams, including their content, how to register for the exams, how long to prepare for, how much the exams cost to take, and other relevant information.
