Series 10 Exam Licensing

License Training Course


Series 10 Licensing Course

Includes: On Demand Class - Exam Study Course Manual - Test Bank of Questions - Class Notes, and more!

The Series 10 is normally taken along with the Series 9. There are 2 course links below. One is for the Series 10 alone and the other is the combined 9/10 online training course. The Series 10 is the larger portion with 145 Multiple choice questions with a 4 hour time limit. We have a section dedicated to the Series 9. 70% is the passing grade needed for both parts to complete the Series 9/10 certification and licensing.

Series 10 Test Topics Include:

  • Supervise Associated Persons and Personnel Management Activities - Registration Requirements, Finra rules and regulations, Standards of Professional Qualification, and Disciplinary Actions by the Appropriate Regulatory Agencies

  • Supervise the Opening and Maintenance of Customer Accounts - Understanding of Required account information and documentation and Anti-money laundering activities, Review customer account transactions, distributions and account transfers for appropriateness

  • Supervise Sales Practices and General Trading Activities - Identify and review customer issue complaints and take appropriate actions and Review daily trade activity for completeness of records or exceptions, along with Review trading activity in employees’ internal and external accounts

  • Supervise Communications with the Public - Oversee telemarketing practices, Review retail communications and determine appropriate approval

License Exam Study Text - This complete and updated study prep course book is the basis of your series 10 exam prep. The text addresses key terms and significant topics, broken down into easily digestible units. Units contain multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your series exam. The text also includes:

  • Series 10 Practice exam

  • Glossary of common terms

  • Appendix with commonly used charts

On Demand Online Class - This is an updated class with our teacher that is a perfect substitute for attending a live class. This class option allows you to train with our Series 10 class content at certain times while you study for your test. It also allows for review as many times as you need.

Series 9 Class Notes - Prepare for your exam with these spiral-bound, soft-cover books that highlight important series exam topics. They include the key points addressed in our live classes, allowing you to focus on the instructor without having to worry about taking notes. The notes are grouped by lesson and provide a convenient format for organized review after class has ended.

Practice your test taking skills and test your knowledge with thousands of exam-focused questions and solutions. This online test bank allows you to build personalized Series 10 exams based on length and topic of your choice and features unlimited exam attempts that are randomly generated each time. The Series 10 exam program also gives you the option to:

  • Finish the exams online or you can print them out to study anytime and anywhere.

  • Review your scores on taken Series 10 practice exams.

  • Track time spent on a question and/or exam.

  • Search for specific questions based on keyword, question ID, or notes.

  • Create personal notes and bookmarks on questions for future reference.

  • Build weighted mock exams to provide a comprehensive test review of all material.

Simulated Final Exams- Test your performance with an online collection of practice questions built on the most current test topics. Frequently updated to address the latest regulations, this exam may be taken only once and provides a score with diagnostic feedback. It is designed to be an accurate measure of preparedness before your actual exam. You should carefully review all Practice Exam questions and topics prior to your series exam to ensure the best possible results.

Exam Tips & Content Updates - As you prepare for exam day, use this online resource to stay up-to-date on the most current changes and study strategies related to your series licensing exam.