Series 10 Question Bank

Series 10 Question Bank (Online)

Prep for the FINRA Series 10 - General Securities Sales Supervisor Qualification Exam with 890 exam-style practice questions across 15 chapters, 3 mini exams, and 2 full-length 145-question practice exams. Self-paced online practice focused on personnel management, customer account supervision, sales-practice and trading oversight, and public communications.

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Instant digital access • Mobile + desktop friendly • Progress tracking • Built for exam-style testing

What you get with the Series 10 Question Bank

  • 890 exam-style practice questions across the full Series 10 outline
  • 15 chapters mapped to FINRA's four Series 10 functions - personnel management, customer accounts, sales-practice & trading supervision, and public communications
  • 45 chapter quizzes - Learn (10 Qs), Apply (10 Qs), and Master (10 Qs) for every chapter
  • 3 Mini Exams (50 questions each) for timed practice
  • 2 full-length Practice Exams (145 questions each) matching the real Series 10 exam length exactly
  • Heavy coverage of hiring & registration (U4/U5/U6), AML, customer account approval, trading supervision, MSRB/municipal oversight, and Rule 2210 communications
  • Progress tracking by chapter and difficulty to target weak areas fast
  • Clear explanations focused on what FINRA actually tests
  • Built specifically for general securities sales supervisors - not repurposed representative content
  • 6-month online access from purchase date

What you'll study

Organized around FINRA's four Series 10 functions - sales-practice and trading supervision is the largest section at 52 questions, followed by customer accounts at 49, personnel management at 28, and public communications at 16. The 15 chapters in the question bank map directly to these four areas.

Function 1 - Supervise Associated Persons and Personnel Management Activities (28 questions)

Supervise Associated Persons and Personnel Management Activities

  • Hiring, background checks, and fingerprinting requirements
  • Registration filings - Form U4, U5, and U6 disclosures and amendments
  • Qualification examinations and permissive registration
  • Continuing education - Regulatory Element and Firm Element
  • Outside business activities and private securities transactions (OBA/PST)
  • Personnel management, supervisory structure, and Rule 3110 supervisory system
  • Annual compliance meetings, internal inspections, and audit trails
  • FINRA Rule 4530 reporting obligations and disclosure events

Function 2 - Supervise the Opening and Maintenance of Customer Accounts (49 questions)

Supervise the Opening and Maintenance of Customer Accounts

  • New account opening - registration types, joint accounts, and entity accounts
  • Customer due diligence, CIP, AML, and beneficial ownership rules
  • Suitability and Regulation Best Interest (Reg BI) for retail recommendations
  • Margin and options account approval - documentation and handoffs to the ROP/Series 9 supervisor
  • Discretionary account supervision and prior written authorization
  • Account transfers (ACATS), updates, and re-approval of customer information
  • Books and records - customer files, account documentation, and retention
  • Senior investor protection, trusted contact persons, and Reg BI disclosures

Function 3 - Supervise Sales Practices and General Trading Activities (52 questions)

Supervise Sales Practices and General Trading Activities

  • Daily trade review - order tickets, allocations, and time-and-price discretion
  • Market-making oversight, best execution, and payment for order flow
  • Prohibited practices - manipulation, front-running, marking the close, churning, and excessive trading
  • Trade reporting obligations (TRF/ORF/TRACE) and OATS/CAT requirements
  • MSRB rules and the supervision of municipal securities activities
  • New issue and IPO allocation rules (Rules 5130 and 5131)
  • Margin supervision - Reg T, FINRA maintenance, and Day-Trading rules
  • Fixed income, mutual fund breakpoint, and variable products supervisory issues

Function 4 - Supervise Communications with the Public (16 questions)

Supervise Communications with the Public

  • FINRA Rule 2210 communications categories - retail, institutional, and correspondence
  • Content standards, required disclosures, and prohibited claims
  • Principal pre-use approval and filing requirements with FINRA
  • Performance, projections, and ranking claims
  • Social media, public appearances, and educational materials
  • Recordkeeping for advertising, sales literature, and correspondence

What students say

The hiring, U4/U5, and Rule 3110 supervisory system coverage was exactly what I needed - real supervisor scenarios, not the rep-level material I already knew from Series 7.

— Marcus W.

The two full-length 145-question practice exams were the difference-maker. Sitting for four hours at real exam length is something you really do have to train for.

— Allison P.

Branch manager moving into a supervisor seat - passed Series 9 and Series 10 back to back. The MSRB and trading-supervision drills were way deeper than what I had in my firm materials.

— Trevor B.

Reg BI for customer accounts, AML/CIP, and Rule 2210 communications were all covered in real depth. The Learn / Apply / Master progression worked great for the supervisory rule sets.

— Sasha L.

GET INSTANT ACCESS

Series 10 Question Bank

$99.99

  • Includes: 890-question bank + 3 mini exams + 2 full-length 145-question practice exams + chapter quizzes
  • Access: 6 month access to the question bank
  • Start practicing immediately after purchase - no waiting.
Get Instant AccessSee what's included

Frequently asked questions

  • You'll have access for 6 months starting immediately after purchase.

About the Series 10 - General Securities Sales Supervisor Qualification Exam

Exam format (official):

  • 145 scored questions (plus 10 unscored pretest questions, 155 total)
  • 4 hours (240 minutes)
  • Passing score: 70%
  • Prerequisites: SIE and Series 7
  • Pairs with the Series 9 (options module) to complete the General Securities Sales Supervisor registration (both must be passed)
  • Administered by FINRA

Core functions (official weighting):

  • Function 1 - Supervise Associated Persons and Personnel Management Activities - 28 questions
  • Function 2 - Supervise the Opening and Maintenance of Customer Accounts - 49 questions
  • Function 3 - Supervise Sales Practices and General Trading Activities - 52 questions
  • Function 4 - Supervise Communications with the Public - 16 questions

For the official exam outline, scheduling details, and registration through FINRA, see the FINRA Series 9/10 exam page.

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