Series 9/10 Exam Secrets Study Guide (printed book)

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

Mometrix Test Preparation's Series 9/10 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass their General Securities Sales Supervisor Qualification Exam. The exam is extremely challenging, and thorough test preparation is essential for success. Our study guide includes:

• Practice test questions with detailed answer explanations
• Tips and strategies to help you get your best test performance
• A complete review of all Series 9/10 test sections
• Hiring, Qualification, and Continuing Education
• Supervision of Accounts and Sales Activities
• Conduct of Associated Persons
• Recordkeeping Requirements
• Municipal Securities Regulation
• Options Regulation

Mometrix Test Preparation is not affiliated with or endorsed by any official testing organization. All organizational and test names are trademarks of their respective owners.

The Mometrix guide is filled with the critical information you will need in order to do well on your Series 9/10 exam: the concepts, procedures, principles, and vocabulary that the Financial Industry Regulatory Authority (FINRA) expects you to have mastered before sitting for your 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

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
• Implications
• Trading practices

...and much more!

Our guide is full of specific and detailed information that will be key to passing your exam. Concepts and principles aren't simply named or described in passing, but are explained in detail. The Mometrix Series 9/10 study 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 answer explanations, and that's another area where our guide stands out. The Mometrix test prep team has provided plenty of Series 9/10 practice test questions to prepare you for what to expect on the actual exam. Each answer is explained in depth, in order to make the principles and reasoning behind it crystal clear.

We've helped hundreds of thousands of people pass standardized tests and achieve their education and career goals. We've done this by setting high standards for Mometrix Test Preparation guides, and our Series 9/10 Exam Secrets Study Guide is no exception. It's an excellent investment in your future. Get the Series 9/10 review you need to be successful on your exam.