This Series 10 exam study guide covers the larger half of the General Securities Sales Supervisor qualification. Where the Series 9 handles options supervision, the Series 10 covers general supervision of a broker-dealer's sales activity — and at 145 questions over four hours, it is an endurance test as much as a knowledge test.
What is the Series 10 exam?
The Series 10, taken with the Series 9, qualifies a General Securities Sales Supervisor. It is a principal-level FINRA exam requiring sponsorship and a qualifying representative registration. The Series 10 is where the breadth of a supervisor's job becomes obvious: almost everything a branch's sales operation touches falls somewhere in scope. See FINRA's Series 9/10 overview.
Series 10 exam format at a glance
- Questions: 145 multiple choice
- Time limit: 4 hours
- Passing score: 70
- Sponsorship: required, with a qualifying rep registration
- Pairs with: the Series 9
These details are accurate as of May 2026. Regulators update exam specifications from time to time, so always confirm the latest format and fee on the official exam page before you schedule.
What the Series 10 tests
The Series 10 covers supervising the day-to-day sales business: hiring and qualifying personnel, supervising customer accounts and trading, handling communications with the public, and maintaining compliance across general securities activity. The questions are framed around what a supervisor must review, approve, document, and enforce — so the right answer is usually the one that reflects sound supervisory procedure, not just the technically permissible action.
How to study for the Series 10
Two things decide this exam: coverage and stamina. The breadth means you cannot afford to skip sections, and the four-hour length means you must concentrate far longer than on any representative exam. Build full-length timed practice into your final weeks so a four-hour sitting feels normal rather than punishing. Keep a miss log organized by supervisory function — personnel, accounts, communications, compliance — so you can see exactly where your gaps cluster and study there.
Common Series 10 mistakes
- Never rehearsing the full four-hour length, then fading in the back half.
- Choosing the permissible action over the proper supervisory procedure.
- Skipping lower-interest sections because the material is broad.
The Exam Bootcamp Series 10 study guide
Our Series 10 study guide and question bank gives you the coverage and the realistic practice volume this exam demands. Pair it with the Series 9 study guide, add private tutoring for trouble spots, or browse the full set on the study guides page.
Who should take the Series 10?
The Series 10 is for representatives stepping up to supervise a branch's general sales activity. Like the Series 9, it is principal-level and requires a qualifying registration such as the Series 7. The two exams together form the General Securities Sales Supervisor credential, so you should plan for both rather than treating the Series 10 as a standalone goal.
Series 10 study timeline
Because of its length and breadth, the Series 10 usually needs the larger share of a combined Series 9/10 study plan. Build in full-length, four-hour practice sittings during your final weeks so test-day endurance is not the thing that costs you points, and review by supervisory function so your weak areas are obvious and easy to target.
Series 10 exam FAQs
How long is the Series 10 exam?
Four hours for 145 questions — plan your pacing so you are not rushing the final sections.
Should I take the Series 9 or Series 10 first?
Either order works, but both must be passed for the license. Many candidates study them together and sit them close in time.
What do I need before the Series 10?
Sponsorship and a qualifying representative registration, most commonly the Series 7.
