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GENERAL SECURITIES SALES
SUPERVISOR, PART I

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.

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