FINRA Series 10 – Exam Information

This exam is administered by The Financial Industry Regulatory Authority (FINRA).

Enrollment Fee:

$125 US. Note that this is the examination enrollment fee ONLY – other fees may also apply.

Prerequisite:

You must be sponsored by a FINRA member firm and must have already passed the series 7 exam.

Format:

Multiple Choice

Number Of Questions:

Objective
# Questions
Supervision of Accounts & Sales Activities
94
Municipal Securities Regulations
20
Conduct of Associated Persons
14
Hiring, Qualifications & Continuing Education
9
Record Keeping Requirements
8
TOTAL
145

 

Each candidate will be allowed 240 minutes to complete the examination. This time limit has been designed to provide enough time for all candidates to complete the exam. A score of 70% or higher is required to pass the Series 10 exam.