FINRA Series 9/10 Exam Guide: Sales Supervisor Guide

By IIC Lakshya

09 Jan 2026

ACCA

FINRA Series 9/10 Exam Guide: Sales Supervisor Guide

The Financial Industry Regulatory Authority (FINRA) Exams are a number of qualification examinations which are designed specifically for candidates and professionals aiming to work or currently working in the Securities industry. Let us explore the FINRA Series 9/10 exam, eligibility criteria, syllabus, tips to crack the exam, along diverse exams.

What is the FINRA Series 9/10 Exam?

The FINRA Series 9/10 exam is officially called the General Securities Sales Supervisor Qualification Examination. Securities professionals who are aiming to develop knowledge and skills in supervisory authority over sales activities at broker-dealers must take this exam and get the license. Here are two different exams in the qualification:

Series 9 - Supervising of options sales
Series 10 - supervising for general securities sales

To become a General Securities Sales Supervisor, all candidates and working professionals must qualify for both these exams. You can learn about the FINRA exam, its meaning and types in detail. Areas like investment companies, corporate securities, and government securities are supervised by professionals at the broker-dealers. They must oversee representatives, enforcing firm policies, and ensuring compliance.

Eligibility Criteria for FINRA Series 9/10 Exam

There are some eligibility requirements that securities professionals or candidates must meet. Below are some of the criteria which might not require any formal educational prerequisites or training, but they are highly recommended. You must go through the FINRA exam course and syllabus to effectively develop an understanding of the criteria.

Candidates must be associated with a FINRA-member firm or company
Candidates should receive sponsorship from a firm through FINRA
An active Series 7 registration must be achieved by the candidate
A supervisory role is designated for the candidate

FINRA Series 9/10 Exam Syllabus

There are different sections of the FINRA Series 9 and FINRA Series 10, which focus on regulatory compliance, sales practice oversight and supervisory responsibilities. Below is a list of topics of the two different Series exams.

Candidates and securities professionals must develop knowledge and skills in it. You can learn the topics from the FINRA Series exam study books. There are multiple-choice questions that candidates have to answer to show their skills and knowledge in the real-world supervisory judgement.

FINRA Series 9: Options Sales Supervision

Below are significant topics that are covered in the FINRA Series 9 exam. These topics that are covered in this area will prepare your knowledge and skills by developing insight into the preparation strategies.

Supervision of options communications
Options account opening and approval
Handling violations and complaints
Suitability and disclosure requirements

FINRA Series 10: General Securities Sales Supervision

Learn about the FINRA Exams levels & study plan, which will help you develop a guide. When candidates are preparing for the FINRA Series 10 exam, they need to know the topics covered in this paper. It will help you create a practical and structured preparation approach and strategies.

Customer complaints and regulatory reporting
Supervision of registered representatives
Advertising and communications review
Sales practice rules and suitability

How to Crack the FINRA Series 9/10 Exam?

If you are planning to prepare for the FINRA Series 9/10 exam, below are significant strategies which you need to implement. You can read the FINRA Series exam step-by-step study guide and preparation. Candidates or working professionals must use these realistic supervisory situations, which help them achieve success.

Candidates must develop FINRA rules, regulations and supervisory procedures in detail
Individuals who are aiming to clear the FINRA Series 9/10 exam need to understand the differences between the options and non-options supervision
When preparing for this paper, candidates should focus on sales and suitability practices and scenarios
Mock exam papers and practice tests are regularly implemented by the candidates, which helps them effectively manage time and build confidence
Reviewing regulatory case-based questions

Career Path After FINRA Series 9/10 Exam

The following are the diverse career paths which candidates and working professionals in the securities industry will aim for after qualifying for the accreditation. The compliance and leadership roles that candidates can apply for:

General Securities Sales Supervisor
Sales Manager at broker-dealers
Compliance Manager
Branch Office Manager
Regulatory Oversight or Risk Manager

Wrapping Up!

In conclusion, FINRA Series 9/10 exams are significant for professionals who want to work in securities sales activities. They develop practical experience, regulatory knowledge and thorough preparation; hence, they can perform effectively in the supervisory leadership roles in the financial service industry.

Frequently Asked Questions on FINRA Series 9/10 Exam

What is the hardest financial exam?

The hardest financial exam considered toughest in the world is the Chartered Financial Analyst (CFA) exam, which helps professionals to manage practices and tools in finance and investment management disciplines.

What is the 3 2 1 rule in studying?

The 3-2-1 rule in studying method is reading a concept 3 times, speaking about the concept twice from memory and writing the concept once from memory.

What are the top 3 courses in finance?

There are the top 3 courses in finance, namely Associate of Certified Chartered Accountant (ACCA), US Certified Management Accountant (US CMA) and Chartered Financial Analyst (CFA).

What is the easiest FIRNA exam?

The easiest FINRA exam is the SIE exam, the Securities Industry Essentials, which is an introductory exam.

Should I take Series 9 or 10 first?

As a candidate, it is completely your choice to take which exam, Series 9 or 10. You can either take the exam on the same day or a different day; however, the General Securities Sales Supervisor Registration will not approve if both exams are not qualified.