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Series 10 FAQ — Common Questions & Quick Answers

Answers to common questions about the FINRA Series 10 exam: eligibility and sponsorship, SIE/Series 7 corequisites, relationship to Series 9, exam format/timing, and how to study.

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Policies can change—confirm critical details with FINRA and your firm before scheduling.

Quick facts

  • Scored items: 145
  • Unscored pretest items: 10
  • Time: 4 hours
  • Passing score: 70
  • Cost: $175
  • Corequisites: SIE + Series 7
  • Sponsorship: required

Frequently asked questions

Do I need firm sponsorship for Series 10?

Yes. Series 10 is a FINRA qualification exam and generally requires association with a FINRA member firm (or other applicable SRO member firm).

How does Series 10 relate to Series 9?

Series 10 is Part 1 of the Series 9/10 qualification. Series 9 is the options-focused counterpart. To obtain the registration, you generally must pass both parts within FINRA’s required time window.

Do I need to pass SIE and Series 7 too?

FINRA’s corequisites for the Series 9/10 registration include SIE + Series 7, plus passing Series 9 and Series 10. Confirm your firm’s required qualification path with your registration team before scheduling.

What does Series 10 cover?

Series 10 tests supervision across four areas:

  • supervising associated persons and branch controls
  • supervising new accounts, KYC/CIP/AML, maintenance, and margin
  • supervising sales practices, trade activity, complaints, and errors
  • supervising communications (retail, correspondence, institutional, telemarketing)

How should I allocate study time?

Use the blueprint weights:

  • F3 (35.9%) + F2 (33.8%) are the bulk of the exam: sales practice supervision + accounts/margin workflows.
  • F1 (19.3%) is where personnel supervision and branch inspection controls live.
  • F4 (11.0%) is “clean points” if you know communications categories, approvals, and common red flags.

What’s the biggest exam trap?

Picking an answer that sounds “business reasonable” but misses a required control:

  • approving incomplete account documentation
  • allowing funds movement without verification/escalation
  • handling trade errors in a way that hides losses or shifts them to customers
  • relying on disclaimers instead of fixing misleading communications

What is the retake policy?

FINRA retake waiting periods can depend on attempt count and exam type. Verify current rules with FINRA at scheduling time.

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