The Series 9 and 10 exams — General Securities Sales Supervisor Qualification Exams (SU) —assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.
The exams measure the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities sales supervisor, including the approval of customer accounts, training of sales and sales supervisory personnel, and the maintenance of records. In addition to the Series 9 and 10 exams, candidates must pass the Securities Industry Essentials (SIE) Exam and the General Securities Representative Exam (Series 7) to hold the General Securities Sales Supervisor registration.
Content Outline
The Series 9 and 10 Content Outline provides a comprehensive guide to the range of topics covered on the exams, as well as the depth of knowledge required. The outline consists of two parts that include the eight major job functions of a general securities sales supervisor. The table below lists the allocation of exam items for each major job function.
| Major Job Functions Part 1: Series 10 |
Number of Exam Items |
|---|---|
| (F1) Supervise Associated Persons and Personnel Management Activities | 28 |
| (F2) Supervise the Opening and Maintenance of Customer Accounts | 49 |
| (F3) Supervise Sales Practices and General Trading Activities | 52 |
| (F4) Supervise Communications with the Public | 16 |
| TOTAL | 145 |
| Major Job Functions Part 2: Series 9 |
Number of Exam Items |
|---|---|
| (F1) Supervise the Opening and Maintenance of Customer Options Accounts | 18 |
| (F2) Supervise Sales Practices and General Options Trading Activities | 19 |
| (F3) Supervise Options Communications | 5 |
| (F4) Supervise Associated Persons and Personnel Management Activities | 13 |
| TOTAL | 55 |
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