Series 9/10 Exam Secrets Study Guide: Series 9/10 Test Review for the General Securities Sales Supervisor Qualification Exam

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9781610728706: Series 9/10 Exam Secrets Study Guide: Series 9/10 Test Review for the General Securities Sales Supervisor Qualification Exam
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Get the test prep help you need to be successful on the Series 9/10 test.

The Series 9/10 Exam is extremely challenging and thorough test preparation is essential for success. Series 9/10 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 9/10 Exam.

Not only does it provide a comprehensive guide to the Series 9/10 Exam as a whole, it also provides practice test questions as well as detailed explanations of each answer.

Series 9/10 Exam Secrets Study Guide includes:

  • A thorough overview of the Series 9/10 Exam
  • An examination of hiring, qualification, and continuing education
  • A guide to supervision of accounts and sales activities
  • An analysis of the conduct of associated persons
  • An in-depth look at recordkeeping requirements
  • A breakdown of municipal securities regulation
  • An extensive review of options regulation
It's filled with the critical information you'll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the Financial Industry Regulatory Authority (FINRA) expects you to have mastered before sitting for the exam.

The Hiring, Qualification, and Continuing Education section covers:
  • Qualification and registration requirements
The Supervision of Accounts and Sales Activities section covers:
  • Solicitation
  • Opening of accounts
  • Supervision of account activities
  • Trading and settlement practices
The Conduct of Associated Persons section covers:
  • General supervisory responsibilities
  • Procedural rules
  • Dispute resolution procedures
The Recordkeeping Requirements section covers:
  • Recordkeeping requirements
  • Customer complaint
  • Securities investor protection act and SIPC rules
The Municipal Securities Regulation section covers:
  • Conduct of business
  • Trading
  • Confirmation, clearance, and settlement of transaction
The Options Regulation section covers:
  • Listed options
  • Strategy investment posture for various market scenarios and their tax
  • Implications
  • Supervising options sales practices
  • Communications with customers
  • Trading practices
These sections are full of specific and detailed information that will be key to passing the Series 9/10 Exam. Concepts and principles aren't simply named or described in passing, but are explained in detail. The guide is laid out in a logical and organized fashion so that one section naturally flows from the one preceding it. Because it's written with an eye for both technical accuracy and accessibility, you will not have to worry about getting lost in dense academic language.

Any test prep guide is only as good as its practice questions and answers, and that's another area where our guide stands out. Our test designers have provided scores of test questions that will prepare you for what to expect on the actual Series 9/10 Exam. Each answer is explained in depth, in order to make the principles and reasoning behind it crystal clear.

We've helped thousands of people pass standardized tests and achieve their education and career goals. We've done this by setting high standards for our test preparation guides, and our Series 9/10 Exam Secrets Study Guide is no exception. It's an excellent investment in your future.

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