|
For
Course Descriptions and Prices
Please Download The Catalog and
Order Form
GENERAL SECURITIES
SALES
SUPERVISOR, PART II
The
General Securities Sales Supervisor Qualification Examination
(Combination of Series 9 and 10) is intended to test a candidate's
knowledge of securities industry rules and certain statutory provisions
applicable to the supervision of general securities-oriented branch
office. A passing score will satisfy the requirements of the major
US exchanges for a candidate who will supervise the sales activities
of a broker/dealer.
The
Series 9 and 10 may NOT qualify a candidate to function at a senior
management level or to supervise functions other than sales, such
as underwriting, trading or overall firm compliance. Candidates
for this examination must first register as general securities
representatives.
The
General Securities Sales Supervisor Qualification Examination
contains 200 multiple-choice questions. Series 9 contains 55 questions
on Regulation of Options and candidates are allotted 1 1/2 hours
of testing time.
Series 10 contains 145 questions and the testing time allotted
is 4 hours. A candidate may take Series 9 and Series 10 in any
order at any time within the 120-day enrollment period. A candidate
must receive at least a 70% score on Series 9 (the Options Group)
and at least a 70% on Series 10 (the General Group) to receive
a passing grade.
|
|
Topics
|
Number
of
Questions
|
|
1.
|
Sales
Supervision
|
38
|
|
2.
|
Account
Supervision
|
33
|
|
3.
|
Compliance,
Recordkeeping, and
Financial Responsibility
|
19
|
|
4.
|
Regulations
Affecting the Operation of Securities
Markets
|
10
|
|
5.
|
Municipal
Securities Regulation
|
45
|
|
|
Total |
145
|
With
Test-N-Learn Company you get the most advanced computer based
training available.
Copyright
© 1997-2008 Test-N-Learn Company. All rights reserved. "Test'n'Learn"
is a trademark of Test-N-Learn Co. "We Put You In A Class
By Yourself" is a trademark of Test-N-Learn Co. Other products
and companies referred to herein are trademarks or registered
trademarks of their respective companies or mark holders.
Test-N-Learn Company and its affiliates attempt to be as accurate
as possible. However, Test-N-Learn Company does not warrant that
product descriptions or other content of this document or its
web site is error-free. Prices
and other information in this document are subject to change without
notice.
|
