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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. 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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.  \nPURPOSE OF THE EXAM  \nThe 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).  \nELIGIBILITY REQUIREMENTS  \nThe 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  \nAPPLICATION PROCEDURES  \nThe 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","cbCaitleLE4wWPVE","https://ap.wps.com/l/cbCaitleLE4wWPVE","pdf",763601,29,"English","# Introduction\n## Purpose of the Exam\n## Eligibility Requirements\n## Application Procedures\n## Structure of the Exam\n## Development and Maintenance of the Content Outline and Exam\n## Administration of the Exam\n## How the Exam is Scored\n## Equating of Test Scores\n## Part 1: Series 10 Content Outline\n## Part 2: Series 9 Content Outline\n## Sample Items\n## References","[{\"question\":\"What is the purpose of the Series 9/10 exam?\",\"answer\":\"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.\"},{\"question\":\"Who is eligible to take the Series 9/10 exam?\",\"answer\":\"A candidate must be associated with and sponsored by a FINRA member firm or other applicable SRO member firm. 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