Series 9/10 Exam Study Guide
Complete Review for the FINRA Series 9/10 General Securities Sales Supervisor ExamBy Marie Peterson
Length10h 19m
About this audiobook
Walk into the FINRA Series 9/10 General Securities Sales Supervisor exam ready for every question. This complete study guide gives candidates a clear, plain-language review of every topic the exam tests, plus 600 original practice questions, each written to exam difficulty and paired with a full explanation. Every question is scenario-based, and each explanation shows why the correct answer is right and why every wrong choice is a trap, so you learn the reasoning the exam rewards instead of memorizing facts. Coverage includes supervision of sales activity and customer accounts, options, margin, and trading supervision, and compliance, complaints, and recordkeeping. You also get 2 full-length practice exams with complete answer keys to build stamina and pinpoint weak areas before test day. Whether you are studying for the first time or refreshing before the exam, this guide gives you realistic practice and clear, useful feedback. An independent study aid, not affiliated with or endorsed by FINRA.
Audiobook details
GenreEducation and Learning
Length10 hrs 19 mins
Narrated byListen with 1,000+ voices
FormateBook with Audio
LanguageEnglish
Table of contents
1Front Matter
2How to Use This Book and About the Exam
3Test-Taking Strategies for the Series 9/10
4Unit 1: Supervision of Sales Activities, Personnel Registration, and Hiring
5Unit 2: Supervision of Options Accounts and Registered Options Principal Duties
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6Unit 3: Trading, Markets, Order Handling, and Best Execution Supervision
7Unit 4: Customer Accounts, Books, and Records Supervision
8Unit 5: Municipal Securities Supervision and MSRB Rules
9Unit 6: Communications with the Public, Advertising, and Sales Literature Review
10Unit 7: Regulatory Framework, FINRA Conduct Rules, Reporting, and Registration
11Unit 8: Compliance, AML, Ethics, Supervisory Systems, and Written Supervisory Procedures
12Full-Length Practice Exams
13Quick Reference
14Final Thoughts
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