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Series 10 Exam Overview — Format, Weights & Eligibility

Understand FINRA Series 10 (General Securities Sales Supervisor) at a glance: structure, timing, passing score, function weights, eligibility, and prerequisites.

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Series 10 at a glance (FINRA)

  • Scored items: 145
  • Unscored pretest items: 10 (155 total)
  • Time: 4 hours (240 minutes)
  • Format: Multiple choice
  • Passing score: 70
  • Cost: $175
  • Corequisites: SIE + Series 7
  • Effective date: 09/1981 – present

Note: FINRA includes unscored pretest items for question development. You won’t know which items are unscored, so treat every item as scored.

What Series 10 tests (job functions)

Series 10 is organized by four major job functions:

  • F1 — Supervise Associated Persons and Personnel Management Activities — 19.3% (28 items)
  • F2 — Supervise the Opening and Maintenance of Customer Accounts — 33.8% (49 items)
  • F3 — Supervise Sales Practices and General Trading Activities — 35.9% (52 items)
  • F4 — Supervise Communications with the Public — 11.0% (16 items)

Series 10 vs Series 9 (important)

Series 10 is Part 1 of the Series 9/10 qualification and covers supervision of general securities sales and operations. Series 9 is the options-focused counterpart. If you need the full registration, plan to study and pass both parts.

✅ Next: work through the Series 10 syllabus » and then start timed drills in Practice ».

Syllabus