General Securities Sales Supervisor Qualification Examination - Series 9/10 Content Outline

Sep 27, 2026

General Securities Sales Supervisor Qualification Examination (Series 9/10) content outline explains what the qualification test covers and how it supports public protection by assessing candidates’ required knowledge, skills, and abilities. It details eligibility criteria tied to FINRA member or applicable SRO member sponsorship, the application process using Form U4 in CRD, and exam structure with 200 multiple-choice items allocated across Series 9 and Series 10 content areas and job functions. It also outlines development, maintenance, administration, scoring, and score equating, and includes sample items and references.

LanguageEnglish

CategoryExam

FormatPDF

Pages29

Reading Time1 h 13 min

AccessFree to download

Introduction

Purpose of the Exam

Eligibility Requirements

Application Procedures

Structure of the Exam

Development and Maintenance of the Content Outline and Exam

Administration of the Exam

How the Exam is Scored

Equating of Test Scores

Part 1: Series 10 Content Outline

Part 2: Series 9 Content Outline

Sample Items

References

General Securities Sales Supervisor Qualification Examination (Series 9/10) Content Outline © 2020 FINRA TABLE OF CONTENTS INTRODUCTION .................................................................................................................. 2 PURPOSE OF THE EXAM................................................................................................... 2 ELIGIBILITY REQUIREMENTS ........................................................................................... 2 APPLICATION PROCEDURES ........................................................................................... 2 STRUCTURE OF THE EXAM .............................................................................................. 2 DEVELOPMENT AND MAINTENANCE OF THE CONTENT OUTLINE AND EXAM ..........3 ADMINISTRATION OF THE EXAM ..................................................................................... 3 HOW THE EXAM IS SCORED............................................................................................. 4 EQUATING OF TEST SCORES........................................................................................... 4 PART 1: SERIES 10 CONTENT OUTLINE .......................................................................... 5 PART 2: SERIES 9 CONTENT OUTLINE .......................................................................... 19 SAMPLE ITEMS................................................................................................................. 27 REFERENCES ................................................................................................................... 28 INTRODUCTION 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. The outline is intended to familiarize exam candidates with the range of subjects covered on the exam, as well as the depth of knowledge required. Sample items are also included to acquaint candidates with the types of multiple-choice items used on the exam. It is recommended that candidates refer to the content outline as part of their preparation to take the exam. Candidates are responsible for planning their course of study in preparation for the exam. PURPOSE OF THE EXAM The Series 9/10 exam is designed to assess the competency of General Securities Sales Supervisors. It is intended to safeguard the investing public by helping to ensure that General Securities Sales Supervisors are competent to perform their jobs. Given this purpose, the Series 9/10 exam seeks to measure the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a General Securities Sales Supervisor. For more information about the permissible activities of a General Securities Sales Supervisor, please see FINRA Rule 1220(a), which is viewable in the FINRA Rule Manual through the following [link:](link: www.finra.org)[ www.finra.org](link: www.finra.org). ELIGIBILITY REQUIREMENTS The candidate must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take the Series 9/10 exam. In order to register in this category, candidates must first qualify as a General Securities Representative (Series 7) . For more information on eligibility requirements, please see FINRA Rule 1220(a), which is viewable in the FINRA Rule Manual through the following link: [www.finra.org](www.finra.org) or other applicable SRO rules APPLICATION PROCEDURES The FINRA member firm or other applicable SRO member firm that sponsors the applicant must file a Uniform Application for Securities Industry Registration or Transfer (Form U4) in the Central Registration Depository (CRD® ) and request the Gen

FAQs

What is the purpose of the Series 9/10 exam?

The Series 9/10 exam assesses the competency of General Securities Sales Supervisors to safeguard the investing public and to measure whether candidates have the knowledge, skills, and abilities needed to perform critical supervisory functions.

Who is eligible to take the Series 9/10 exam?

A candidate must be associated with and sponsored by a FINRA member firm or other applicable SRO member firm. To register, candidates must first qualify as a General Securities Representative (Series 7).

How many questions are on the Series 9/10 exam and how are they allocated?

The exam consists of 200 multiple-choice items, with 55 items on the Series 9 portion and 145 items on the Series 10 portion, distributed across four major content areas for each series as listed in the outline.

Sep 27, 2026

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