Maximize Your Score: Free Series 10 Practice Exams
The Series 10 exam is also known as the General Securities Sales Supervisor – General Exam. You must pass both the Series 9 and Series 10 exams to be licensed as a general securities sales supervisor.
Four practice exams covering supervisory duties across a broad range of securities products.
Realistic questions that mirror the complexity of general sales supervision.
Detailed explanations that break down Series 10 rules and reinforce key compliance concepts.
FINRA Series 10 Exam
General Securities Sales
Supervisor Exam
The General Securities Sales Supervisor – General Exam (Series 10) is a FINRA exam required for individuals who supervise sales of corporate securities, municipal securities, investment company products, and variable contracts.
145 Questions
Multiple Choice
4 Hours
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Series 10 Exam Overview
The Series 10 exam, also known as the General Securities Sales Supervisor – General Exam, is the second part of FINRA’s Series 9/10 qualification. It is designed to assess the competency of individuals supervising a broad range of securities sales activities—excluding options, which are covered by Series 9. This exam helps ensure supervisors possess the knowledge needed to oversee branches responsibly.
Who Needs the Series 10?
To qualify for this exam, candidates must:
- Be sponsored by a FINRA-member firm or self-regulatory organization (SRO)
- Already hold the Series 7 (General Securities Representative) and have passed the SIE exam
Passing both the Series 9 and Series 10 is required to register as a General Securities Sales Supervisor.
Exam Structure & Format
- Total Questions: 145 scored + 10 undisclosed pretest items (total 155 questions)
- Time Allowed: 4 hours
- Passing Score: 70% (approximately 102 correct answers out of 145 scored questions)
- Delivery: Administered by computer at Prometric centers or via remote proctoring; comes with a pre-exam tutorial and uses only test-center-provided scratch paper and calculators
Content & Exam Topics
The Series 10 exam measures proficiency across four supervisory functions:
- Supervise Associated Persons and Personnel Management – 28 questions
- Supervise Opening and Maintenance of Customer Accounts – 49 questions
- Supervise Sales Practices and General Trading Activities – 52 questions
- Supervise Communications with the Public – 16 questions
These sections cover critical topics like hiring practices, Forms U4/U5/U6, registration requirements, continuing education, private securities transactions, AML rules, municipal securities compliance (MSRB), and public communications regulation.
How It Fits In Your Licensing Path
The Series 10 credential must be earned alongside the Series 9 exam to fully qualify as a General Securities Sales Supervisor. Passing both within a 120-day enrollment window is essential—otherwise, passing scores can expire.
Preparation Tips
- Use FINRA’s content outline as your study blueprint
- Focus on supervisory rules, compliance duties, and regulatory communication standards
- Practice with timed mock exams and aim for scores well above 70% to build confidence and pacing
- Drill scenario-based questions that reflect real supervisory situations
Final Thoughts
The Series 10 exam is a critical step for professionals seeking to supervise general securities sales activities within a broker-dealer environment. Together with the Series 9, it forms the foundation for becoming a fully licensed General Securities Sales Supervisor.
While the content is broad and the exam is lengthy, thorough preparation—focusing on compliance, communication, and supervisory procedures—can set you up for success. With the right study tools and consistent practice, you’ll be ready to pass the Series 10 and take on the responsibilities of a supervisory role with confidence.