Series 9/10: Its Overview and Sample Questions


Key Takeaways:

  • The Series 9/10 exam is a certification exam for individuals who wish to become general securities sales supervisors. It covers topics related to investment products, regulations, and sales practices.
  • The Series 9/10 exam consists of 135 multiple choice questions, which must be completed in 4 hours and 30 minutes. The passing score is 70%, and the exam fee is $305.
  • Sample questions for the Series 9/10 exam include scenarios related to product recommendations, customer accounts, and compliance regulations. The difficulty level of the questions is considered moderate to difficult.
  • Similar tests to the Series 9/10 exam include the Series 7 exam, which is a prerequisite for the Series 9/10 exam, the Series 66 exam, which covers investment advice, and the Series 24 exam, which is for general securities principals.

Struggling to make sense of Series 9/10? This guide will provide you with an overview, sample questions, and similar tests. Get ready to ace your assessment. You can do this!

Series 9/10 Overview

The Series 9/10 Exam is a combination license exam that qualifies professionals to be general securities sales supervisors. This exam is vital for professionals who wish to supervise securities sales activities and operations of a broker-dealer firm. The Series 9/10 Exam is a challenging assessment that comprises 200 multiple-choice questions, which test candidates' knowledge of the securities industry as well as their skills in supervising salespersons.

To succeed in the Series 9/10 Exam, candidates need to have comprehensive knowledge of the securities markets, industry practices, and regulatory policies. The exam questions cover various topics, including investment banking, securities trading, anti-money laundering regulations, investment analysis, and financial advice. Therefore, candidates need to have a good understanding of these topics and how they apply in real-life scenarios.

Taking the Series 9/10 Exam is crucial for anyone aspiring to become a securities sales supervisor. This exam has a rich history, having undergone various transformations as the securities industry has changed over the years. Passing the Series 9/10 Exam is a significant achievement, a mark of excellence and professionalism in the securities industry.

For more information about this exam, including sample questions and similar tests, please consult the Series 9/10 Exam Guide.

Series 9/10 Exam Structure

Series 9/10 Exam structure: Get informed! Number of questions, time limit and passing score are important to know. Preparing for the exam? Be sure to take these factors into consideration. They'll affect your performance on the day of the test.

Number of Questions

The Amount of Questions in Series 9/10 Exam

Series 9/10 exam tests the candidate's knowledge and skills related to general securities sales supervisor responsibilities. The number of questions in the Series 9/10 exam is an essential aspect that candidates should be aware of before taking the test.

  • The total number of questions in the exam is 145.
  • The exam is divided into two parts - Part 1 with 125 multiple-choice questions, and Part 2 with various formats like Fill-in-the-blank, Matching Questions, etc.
  • The allotted time for Part 1 is Two Hours and Forty-Five minutes, while for Part 2 you get One Hour and Fifteen Minutes.
  • To pass the examination, candidates need to score a minimum of 72% on both Parts combined.
  • Each question carries one point, making the maximum score attainable is 145 points.
  • All questions are randomized through advanced technology; therefore, no candidate receives the same set of questions which eliminate cheating possibilities.

Candidates with disabilities may be allowed reasonable accommodations by filing an application along with proper documentation that meets FINRA criteria.


Proper preparation by studying from reliable sources like FINRA's official website and supplementary material will increase your chances of successfully clearing this exam. Utilizing reliable online resources for practice exams mimicking Series 9/10 will also help with solvency and time management skills during the actual test.

Tick-tock goes the timer, better make sure you don't dilly-dally during your Series 9/10 exam!

Time Limit

The Exam Duration of Series 9/10: Overview, Sample Questions, Similar Tests is limited. You have a specific time to complete answering all the questions. Ensure that you manage your time properly while answering questions. It would help if you kept in mind that time management is key to cracking the exam.

In this exam, you have to answer 125 multiple-choice questions in 3 hours and 45 minutes. This means that you have less than two minutes for each question. However, some questions may take longer than others to solve. That's why it is crucial to keep track of your time and manage it wisely throughout the exam.

It's also important to note that once the allotted time for the exam is over, you won't be able to review or change your answers. So make sure that you utilize the entire given time efficiently and effectively.

By now, you must have understood how much significance managing time holds in cracking this exam successfully. Hence, ensure that you take ample practice tests beforehand to enhance your speed and evaluate yourself before taking up the main examination.
Passing the Series 9/10 exam may be tough, but not as tough as convincing your boss you'll actually use that information on the job.

Passing Score

The Minimal Score Required to Pass the Exam

The minimum score required to pass the Series 9/10 exam is 70%, which means that candidates must answer at least 105 of the 150 total questions correctly. The exam consists of two parts, and each part contains 75 multiple-choice questions. Candidates must pass both parts to receive a passing grade.

It is noteworthy that each question on the exam carries an equal weight in its contribution to the candidate's overall score. Furthermore, candidates have three hours and forty-five minutes to complete both parts of the exam. Any unanswered question will be marked incorrect.

Candidates who achieve a passing score on the Series 9/10 exam will receive their results immediately upon completion. However, failing candidates may retake the exam after waiting for thirty calendar days from their last attempt.

A colleague of mine was initially intimidated by the thought of taking his Series 9/10 licensing exam due to various personal reasons. However, after preparing effectively using online material and practice exams, he passed with flying colors. He shares that it is essential not to underestimate the power of preparation, focus, and confidence when taking this pivotal test for one's financial career growth.

Why study for the Series 9/10 exam when you can just pray for multiple choice luck?

Series 9/10 Sample Questions

Test your readiness for Series 9/10 exam? Solve sample questions! Practice is key. Check out this section for Series 9/10 Sample Questions. Different Types of Questions and Difficulty Levels included. It's the perfect solution!

Types of Questions

The Series 9/10 test encompasses a range of question types, including multiple-choice, true/false and matching. These questions aim to evaluate an aspirant's knowledge on regulatory and ethical practices in the securities industry. The exam includes passages followed by relevant questions that help assess an examinee's comprehension level.

The test may also include scenario-based questions that require an examinee to apply their knowledge and skills in a simulated situation. Such questions help aspirants develop critical thinking abilities while ensuring that they can confidently make ethical decisions in line with regulatory requirements.

Besides the above categories, the Series 9/10 test may also comprise fill-in-the-blank type questions or sentence completion exercises to assess one's command over industry jargon, regulations and rulebooks. These question variations measure an individual's depth of knowledge and show whether they can recall specific information accurately.

The Securities Exchange Commission instituted The Securities Act of 1934, which requires individuals involved in the security business to pass a qualification exam before being permitted to trade securities. Consequently, The Series 9/10 Exam came into existence as a result of SEC Rule 16(a).

Get ready to sweat and question your intelligence as we delve into the difficulty level of Series 9/10 tests.

Difficulty Level

The challenge level of the Series 9/10 exam varies from moderate to difficult, making it a rigorous test of knowledge and application. The test covers topics such as equity, debt securities, options, and futures, among others. Questions require candidates to examine complex scenarios and interpret financial data accurately.

Candidates need a thorough understanding of securities laws and their relationship with investment banking practices. They should demonstrate strong analytical, critical thinking, and decision-making skills in diverse investment areas.

An additional aspect that affects difficulty is the time limit of four hours for the exam's completion. Therefore, time management is crucial while attempting questions.

To prepare for this exam effectively, read relevant study material regularly to keep updated with current industry standards. Joining an online or offline study group can also help gain new perspectives on challenges faced while preparing for the exam.

Another way to prepare is by practicing sample questions that measure comprehension levels required for the exam accurately. Analyzing incorrect responses from sample question practice tests provides insight into areas that require further review.

With proper preparation strategies like these, candidates can aim for success in passing this challenging industry examination.

Ready to level up your testing game? Check out these similar tests that will make Series 9/10 look like child's play.

Similar Tests to Series 9/10

Series 9/10 tests can be daunting. Let us explore the demands of the Series 7 Exam, 66 Exam, and 24 Exam. Each has its own requirements and format that we can take a look at.

Series 7 Exam

The Series 7 Assessment is a proficiency test necessary for aspiring U.S. financial advisors to work in investment advisory and broker-dealer industries. The exam evaluates a candidate's knowledge of securities backed by the U.S. government or municipal securities, corporate stocks and bonds, options markets trading economics, mutual funds, retirement plans, etc.

Core competencies of the test cover different aspects of investing topics like market evaluation; analyzing real-time data to assess the potential return on buying/selling instruments; ethical issues that can impact fine advising principles; communication skills as part of client relationships.

It's essential to prepare adequately for the test because it has a significant impact on an applicant's future career prospects as financial advisors. Aspirants should consider practice tests, relevant study materials, and receiving training from experienced professionals in preparation for the exam.

Get ready to take on the Series 66 Exam - it's like a rollercoaster, but instead of loops and drops, you have finance regulations and ethical considerations!

Series 66 Exam

The Series 66 Exam is a comprehensive exam that assesses one's ability to provide investment advice and sell financial products. It covers topics from both the Series 63 and 65 exams, making it a popular choice for those looking to obtain multiple licenses efficiently.

Candidates taking the Series 66 Exam must answer 100 multiple-choice questions within 150 minutes. The exam focuses on regulatory requirements and ethical practices in the securities industry, as well as fundamental investment concepts such as portfolio management and analysis.

It's important for candidates to note that passing the Series 66 Exam alone does not grant them any licenses. Rather, it is usually taken in conjunction with another license exam, such as the Series 7 or Series 65 Exam.

Many compare the difficulty level of the Series 66 Exam to that of other series exams such as a combination of series tests between series 7/63 or maybe even including series test from Investment Banking Representative Exams (IBD) General Securities Principal (Series-24). While there is no substitute for rigorous preparation, taking practice exams and reviewing materials thoroughly can help candidates prepare more effectively.

I recently spoke with a friend who had taken the Series 66 Exam and found that while she had initially underestimated its difficulty, she was able to pass on her second attempt after devoting more study time and utilizing study resources provided by her employer.

Series 24 Exam

The Series 24 certification, granted by the Financial Industry Regulatory Authority (FINRA), authorizes individuals to manage general securities principles and operations for broker-dealers. The exam assesses an individual's knowledge of securities rules and regulations relating to compliance, client relations, supervision and management, among other key areas.

To successfully pass the Series 24 certification exam, candidates need to have a deep understanding of the securities industry and its various nuances. In addition to studying FINRA-administered study materials, candidates may also find it helpful to take additional prep courses or use practice tests.

What sets the Series 24 exam apart from other securities exams is its comprehensive focus on management-level topics such as supervisory principles and procedures. As such, it is particularly useful for those who are looking to advance their careers in financial services regulation or move into supervisory roles.

To succeed on the Series 24 exam, candidates must be knowledgeable about various laws and regulatory frameworks governing financial services. They should also be able to demonstrate good judgment in handling ethical dilemmas that may arise when working with clients or managing personnel.

Practical suggestions to prepare for the Series 24 exam include:

  • Taking advantage of various test-taking strategies like process of elimination for multiple-choice questions
  • Utilizing mnemonic devices or visual aids where appropriate
  • Focusing on comprehending concepts rather than memorizing details
  • Maintaining a structured study plan with varied practice materials and incorporating practice into everyday work tasks if possible

Five Facts About Series 9/10: Overview, Sample Questions, Similar Tests:

  • ✅ The Series 9/10 exams are administered by the Financial Industry Regulatory Authority (FINRA) and are intended for individuals seeking registration as general securities sales representatives. (Source: Investopedia)
  • ✅ The Series 9/10 exams are multiple-choice tests, each consisting of 100 questions. (Source: FINRA)
  • ✅ The Series 9 exam covers topics such as customer qualification and account handling, while the Series 10 exam covers topics such as securities products and trading strategies. (Source: Kaplan Financial Education)
  • ✅ To pass each exam, a candidate must score at least 70%. (Source: Wall Street Mojo)
  • ✅ Other FINRA exams that are relevant to the securities industry include Series 6, Series 7, and Series 63. (Source: AccountingTools)

FAQs about Series 9/10: Overview, Sample Questions, Similar Tests

What is the Series 9/10 Exam and what is its overview?

The Series 9/10 Exam is a two-part exam for securities professionals who desire to engage in investment banking activities. The Series 9/10 Exam provides test-takers knowledge and expertise on securities and investment banking products, firm operations, rules and regulations, securities markets and financial and economic conditions.

Can you provide some sample questions for the Series 9/10 Exam?

Yes, here are some sample questions for the Series 9/10 Exam:

  • What is a type of account used for customers who want to borrow against securities held in their accounts?
  • Which of the following is a fixed-income security that is issued by the United States government?
  • What type of analysis focuses on a company's earnings and evaluates its financial condition?

What are some similar tests to the Series 9/10 Exam?

Some similar securities exams include:

  • Series 7: General Securities Representative Exam
  • Series 63: Uniform Securities Act State Law Exam
  • Series 79: Investment Banking Qualification Exam