Series 10 General Securities Sales Supervisor Exam Guide
Series 10 guide for the general sales-supervision half of FINRA Series 9/10, covering personnel, accounts, sales practices, trading, and communications.
Use this Series 10 exam guide when you are reviewing the broader general-sales-supervision half of the Series 9/10 path. FINRA frames the combined registration around personnel supervision, customer-account oversight, sales-practice review, trading supervision, and communications controls. In practice, that makes Series 10 the heavier general-supervision component, while Series 9 covers the options-specific half.
Series 10 also needs to be understood in context. Passing Series 10 alone does not complete the General Securities Sales Supervisor path, and the combined registration still depends on the paired Series 9/10 structure and the required representative-level corequisites. Use the chapter lessons below to learn the four official functions in order: personnel management, customer accounts, sales practices and trading activity, and communications with the public.
The guide also includes quick-reference pages such as the Cheat Sheet and FAQ for faster recall. The chapter lessons are where you build supervisory judgment about hiring, disclosures, account approval, complaint handling, product supervision, trade review, and communications oversight.
Series 10 exam snapshot
Fact
Current FINRA summary
Registration context
Part of the paired Series 9/10 General Securities Sales Supervisor route
Exam focus
General securities sales supervision
Scored items
145
Additional unscored items
10
Time limit
4 hours
Passing score
70
Registration requirements
SIE + Series 7 corequisites; both Series 9 and Series 10 must be passed
What to study first
Start with customer accounts and sales-practice supervision. Those two functions represent most of the Series 10 exam and they define the supervisory lens used in the smaller personnel and communications sections. The best answers usually protect the customer, verify authority and documentation, escalate exceptions through written supervisory procedures, and leave a clear review trail.
Curriculum section map
Series 10 is best studied as a supervisory workflow: associated-person oversight, account approval and maintenance, sales-practice and trading review, then communications supervision. Start with the section lessons inside each function, then use the Cheat Sheet for final recall.
Study verify the qualifications of newly hired associated persons for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study review and maintain associated persons' registrations and disclosures for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study supervise associated persons and take corrective actions for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study maintain marketplace, product, and regulatory knowledge for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study conduct branch office inspections and manage delegation for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study review new account documentation and approvals for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study review transactions, distributions, and transfers for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study review margin accounts and margin requirements for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study oversee administrative maintenance of customers' accounts for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Study review employees' internal and external accounts for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
Learn how Series 10 tests daily trade surveillance, insider-trading and manipulation risks, borrowing and lending, sharing in accounts, and employee-account controls.
Learn how Series 10 tests product-specific supervision across variable annuities, packaged products, fixed income, alternatives, municipals, DPPs, and related suitability risks.
Study how Series 10 tests telemarketing, retail communications, correspondence, institutional communications, approvals, and public-appearance oversight.
Study review retail communications and determine approval for FINRA Series 10 with learning objectives, supervisory controls, decision rules, and exam traps.
High-yield Series 10 review for branch supervision, new accounts, AML controls, funds movement, margin, sales-practice surveillance, complaints, and communications.