Prep for the FINRA General Securities Sales Supervisor Exam. Get exam ready with the best Series 10 study materials. Created by MSRB Experts and Compliance professionals to ensure your success. Our Series 10 Training Course includes:

  • More than 12 hours of on demand video lectures. 15 videos follow our textbooks. So you know how each topic is tested on the real exam
  • More than 1,800 Series 10 practice questions with detailed explanations. Showing you how to master difficult questions
  • Our comprehensive Series 10 exam manual is the ultimate study guide. A perfect bound physical textbook packed with the information you need. And it ships free. 

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  • Series 10 Complete Self Study Solution
  • Demo Video
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  • Updated
    December 2023
  • Online Account Access
    180 days instant access
  • Physical Perfect Bound Textbook
    259 pages
  • Ebook
    259 pages
  • Video Training Class
    12 Hours - 15 videos - 15 section tests
  • Test Bank
    1,800 questions
  • Number of ways to customize exams
    15
  • Comprehensive Question & Exam Reports
  • Unlimited Randomized Simulated Final Exams
  • Unlimited Topic Focused Practice exams
  • Checkpoint Exams
  • Greenlight Exam
  • GreenLight Money Back Pass Guarantee
  • Exam Plan Personal Study Calendar
  • Shipping
    Free UPS Shipping
    Your tracking number will be emailed to you
  • Online Tools
    Accessible from any computer, phone or tablet
  • Test Tips Video to Improve Your Score
  • Cheat Sheets
    The ultimate shortcut and final crunch time reference guide
  • Phone Email & Chat Support
  • $ 349.00

  • BEST VALUE

  • Series 10 Textbook & Exam Question Test Bank
  • Demo Video
  • Updated
    December 2023
  • Online Account Access
    180 days instant access
  • Physical Perfect Bound Textbook
    259 pages
  • Ebook
  • Video Training Class
  • Test Bank
    1,800 questions
  • Number of ways to customize exams
    15
  • Comprehensive Question & Exam Reports
  • Unlimited Randomized Simulated Final Exams
  • Unlimited Topic Focused Practice exams
  • Checkpoint Exams
  • Greenlight Exam
  • GreenLight Money Back Pass Guarantee
  • Exam Plan Personal Study Calendar
  • Shipping
    Free UPS Shipping
    Your tracking number will be emailed to you
  • Online Tools
    Accessible from any computer, phone or tablet
  • Test Tips Video to Improve Your Score
  • Cheat Sheets
    The ultimate shortcut and final crunch time reference guide
  • Phone Email & Chat Support
  • $ 289.00

  • BEST ADDITIONAL PRODUCT

  • Series 10 Video Class
  • Demo Video
    play button
  • Updated
    December 2023
  • Online Account Access
    180 days instant access
  • Physical Perfect Bound Textbook
  • Ebook
  • Video Training Class
    12 Hours - 15 videos - 15 section tests
  • Test Bank
    1,800 questions
  • Number of ways to customize exams
    15
  • Comprehensive Question & Exam Reports
  • Unlimited Randomized Simulated Final Exams
  • Unlimited Topic Focused Practice exams
  • Checkpoint Exams
  • Greenlight Exam
  • GreenLight Money Back Pass Guarantee
  • Exam Plan Personal Study Calendar
  • Shipping
  • Online Tools
    Accessible from any computer, phone or tablet
  • Test Tips Video to Improve Your Score
  • Cheat Sheets
    The ultimate shortcut and final crunch time reference guide
  • Phone Email & Chat Support
  • $ 149.00

  • Over 1500 questions
  • Works with all major browsers and mobile devices
  • Updated October 2023

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 10 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 10 exam.

Series 10 Exam Question Test Bank

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Our series 10 online video class guides you through all of the information you must know to pass your exam. This video class is the perfect study tool and provides you with detailed test tips and examples of how the material is tested based on feedback from thousands of test takers. More than 11 hours of video training is accessible on any device and ready to help you make the most of your study time.

Series 10 Video Class play button

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99.00

Get Videos and Exam Prep Software :

149.00

  • 11 hours of instruction
  • Accessible on any device
  • Unlimited access for 6 months
  • Updated October 2023
  • Paperback
  • 360 pages
  • 246 test questions
  • Updated October 2023
  • Free Shipping

The "go to guide" to acing the Series 10 exam - Our Series 10 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 10 exam. our Series 10 textbook is packed with test tips, Series 10 sample questions and all the must know information you need to pass your exam. Our Series 10 textbook has been developed to ensure you have the absolute best Series 10 material.

Series 10 Exam Textbook

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199.00

  • Series 10 Sample ChapterPDF
  • Textbook Table of ContentsPDF
  • Textbook IndexPDF
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  • Updated December 2023

If you want to access your material on the go, this is the study solution you have been waiting for. Our Series 10 Mobile ebook is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach.

Series 10 Mobile Ebook

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199.00

Series 10 Combination Packages

All of our combination packages are discounted. Check out the prices! Purchase one of the following combination packages if you are really serious about passing your exam in the quickest possible time.

Everything you need to pass the series 9 and 10 exam and to become a general Securities sales supervisor. This is our most comprehensive package for both exams and will guide you through the entire process. pact with test tips, test questions and video instruction detailing exactly what you will see on your exam based on the feedback of thousands of students.

  • Series 9 Exam Study Guide - 218 pages
  • Series 9 Ebook - 218 pages
  • Series 10 Exam Study Guide - 364 pages
  • Series 10 Ebook - 364 pages
  • Series 9 test bank -750 questions
  • Series 10 test bank -1,500 questions
  • Series 9 Video Class- 4 hours
  • Series 10 Video Class- 11 hours
  • Free Shipping
  • Updated December 2023
  • Unlimited access to videos and test banks for 6 months
Series 9 and 10 study materials play button

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449.00

Purchase the complete self study solution for both the Series 9 and Series 10 exams. This is another of our more inclusive deals and includes:

  • Series 9 Exam Study Guide- 218 pages
  • Series 10 Exam Study Guide- 364 pages
  • Series 9 Practice Exams - 750 questions
  • Series 10 Practice Exams - 1500 questions
  • Series 9 Ebook
  • Series 10 Ebook
  • Free Shipping for all
  • Updated October 2023
  • Unlimited access to test banks for 6 months
Series 9 and 10 study materials

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329.00

The series 9 & 10 complete video package is packed with more than 16 hours of HD video, More than 2,500 practice questions to ensure you are ready to pass both exams. All training is accessible from any computer, phone or tablet.

  • Series 9 Video Class - 4 + hours, 4 videos, 4 section tests
  • Series 10 Video Class - 12 + hours, 15 videos, 15 section tests
  • Series 9 Test bank - 750 Questions
  • Series 10 Test bank - 1,800 Questions
  • Unlimited randomized practice tests
  • Unlimited randomized final exams
  • Instant 6 month access on any device
  • Updated January 2024
Series 9 and 10 Online Video Class play button

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239.00

Series 10 Important Concepts

Introduction

Guidelines for the practices that a brokerage firm uses to conduct the operation of its daily business are regulated by industry, state, and federal regulators. These guidelines are the foundation for the way that the firm handles all business, from hiring a new agent to executing a customer’s order. All Series 10 candidates must have a full understanding of a brokerage firm’s operations and procedures to successfully complete the exam.

Hiring New Employees

A registered principal of a firm will be the individual who interviews and screens potential new employees. They will be required to make a thorough investigation into the candidate’s professional and personal backgrounds. With few exceptions, other than clerical personnel, all new employees will be required to become registered as an associated person with the firm. Additionally, all employees of the

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All broker dealers are required to prepare and maintain reports and records according to industry regulations. The content and timing of the reports depends on the nature of the report. SEC Rule 17 a-3 sets forth the requirements for broker dealer reporting, timing, and content. SEC Rule 17 a-4 sets the retention requirements for those records. Records subject to these rules must be maintained anywhere from three years to the life of the firm. Records that are required to be maintained must be readily accessible for the first two years.

Under SEC Rule 17a-3 a significant number of records must be filed and maintained by broker dealers. The following is a list of those records and their definitions:

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Introduction

The Municipal Securities Rule Making Board or the MSRB is the organization responsible for overseeing the municipal securities industry. The MSRB has no enforcement arm and its only function is to write rules and test questions. As a result, the Series 10 exam will contain a number of questions relating to municipal securities.

Municipal bonds

State and local governments will issue municipal bonds in order to help the local governments meet their financial needs. Most municipal bonds are considered to be almost as safe as Treasury securities issued by the federal government. However, unlike the federal government, from time to time an issuer of municipal securities does default. The degree of safety varies from state to state and from municipality to municipality. Municipal securities may be issued by:

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If a registered representative wants to obtain employment outside of their position with a member firm, the registered representative must first provide written notification to the employing member firm. The member firm may reject or limit the representative’s outside employment. Exceptions to this rule are if the registered representative is a passive investor in a business or if the representative owns rental property. All other outside business activities must be disclosed to the member firm. If the member is a NYSE member, they must provide the representative with prior written approval before the representative engages in any outside activity.

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