Series 10 SecuritiesPro QBank 4th Edition. Study for the General Securities Sales Supervisor - General Exam. Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create personal notes and bookmarks for future reference. Available online with optional download. E-mail with login info will be sent to the e-mail address on file within 1 business day. (FREE SHIPPING ON THIS ITEM. No Refunds. No Returns)
Series 10 SecuritiesPro™ QBank 4th Edition.
General Securities Sales Supervisor - General Exam.
Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create personal notes and bookmarks for future reference.
Available online with optional download.
E-mail with login info will be sent to the e-mail address on file within 1 business day.
EXAM DETAILS (Provided for informational purposes)
FINRA requires its members and employees of its members to pass a qualification exam to become registered as a General Securities Sales Supervisor. This exam tests your knowledge of securities rules and regulations in preparing for supervising the sales activities in corporate, municipal and options securities, and more. You must pass the Series 9 and the Series 10 exams to be qualified to supervise the purchase and sale of nonexempt securities.
Pre-Requisites: Series 7
Type of Exam: 145 Multiple-choice questions
Exam Duration: 4 hours
Passing Grade: 70% or above
Fee: $110.00
Outline of Topics Covered:
- Hiring Qualification, and Continuing Education
- Supervision of Accounts and Sales Activities
- Conduct of Associated Persons
- Recordkeeping Requirements
- Municipal Securities Regulation
Manufacturer: Kaplan Financial Education
SKU: NCS10QBK4E
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