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Question 1

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A registered representative is applying for a new position at a member firm. Which form must be completed to register the representative with FINRA?

Form U5

Form U4

Form BD

Form ADV

to track

2026 Statistics

Key Facts: Series 10 Exam

65-70%

First-Time Pass Rate

Industry estimate

70%

Passing Score

~102/145 questions

60-80 hrs

Study Time

Recommended

36%

Sales Practices

Largest section

$235

Exam Fee

FINRA

4 hours

Exam Duration

FINRA

The Series 10 exam has an estimated pass rate of 65-70% for first-time candidates. It requires 70% (approximately 102/145 questions) to pass in 4 hours. The exam is comprehensive, covering supervision of associated persons (19%), accounts (34%), sales practices (36%), and communications (11%). You must pass Series 9 + Series 10 to fully qualify as a General Securities Sales Supervisor. Plan for 60-80 hours of study.

Sample Series 10 Practice Questions

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1A registered representative is applying for a new position at a member firm. Which form must be completed to register the representative with FINRA?

A.Form U5

B.Form U4

C.Form BD

D.Form ADV

Explanation: Form U4 is the Uniform Application for Securities Industry Registration or Transfer, used to register an individual with FINRA and state securities regulators. Form U5 is used to terminate a registration. Form BD is for broker-dealer registration, and Form ADV is for investment adviser registration.

2Under FINRA rules, how often must registered representatives complete the Regulatory Element of continuing education?

A.Every year

B.Every two years

C.Every three years

D.Every four years

Explanation: The Regulatory Element of continuing education must be completed by registered persons every three years. The Firm Element is required annually. The Regulatory Element covers compliance, regulatory, ethical, and sales practice standards.

3A firm is hiring a new registered representative. Within how many days of becoming registered must the individual submit fingerprints?

A.10 days

B.30 days

C.60 days

D.90 days

Explanation: FINRA requires that fingerprints be submitted within 30 days of becoming registered. The fingerprints are submitted to the FBI for a criminal background check. Failure to submit fingerprints can result in the individual's registration being suspended.

4Which form is used by a member firm to terminate a registered representative's registration?

A.Form U4

B.Form U5

C.Form 8-K

D.Form ADV-W

Explanation: Form U5 is the Uniform Termination Notice for Securities Industry Registration, used when a firm terminates a registered person's association. The form must be filed within 30 days of the termination date and discloses the reason for termination.

5A registered representative wants to engage in an outside business activity. What is required?

A.No notification is required if the activity is unrelated to securities

B.Written notice must be provided to the member firm before engaging in the activity

C.FINRA approval is required for all outside business activities

D.Only verbal notification to the immediate supervisor is required

Explanation: FINRA Rule 3270 requires registered representatives to provide written notice to their member firm before engaging in any outside business activity. The firm must then evaluate whether the activity might interfere with the representative's duties or pose a conflict of interest.

6A registered representative has been convicted of a felony involving securities fraud. What is the status of this individual under FINRA rules?

A.Subject to a 2-year cooling-off period

B.Subject to a 5-year cooling-off period

C.Subject to automatic statutory disqualification

D.Required to complete additional continuing education

Explanation: Certain criminal convictions, regulatory violations, and other misconduct result in statutory disqualification under Section 3(a)(39) of the Securities Exchange Act. Securities fraud felonies result in automatic statutory disqualification, which prevents the individual from associating with a broker-dealer unless they obtain a waiver.

7A firm discovers that a registered representative engaged in misconduct and decides to terminate the representative. What disclosure requirement applies to the Form U5 filing?

A.The firm must disclose the termination but not the reason

B.The firm must disclose whether the termination was voluntary or involuntary and provide a reason if involuntary

C.The firm only needs to disclose if the representative consents

D.The firm must wait for FINRA to complete an investigation before filing

Explanation: Form U5 requires disclosure of whether the termination was voluntary, involuntary, or permitted to resign. For involuntary terminations or permitted to resign, the firm must provide a reason. This disclosure is important because it may trigger a regulatory inquiry and affects the representative's ability to work in the industry.

8Under FINRA Rule 3110 (Supervision), what is required regarding the supervision of branch offices?

A.Each branch must have a dedicated supervisor present at all times

B.Member firms must establish and maintain a system to supervise branch office activities

C.Branch offices do not require supervision if they have fewer than 5 registered representatives

D.FINRA must approve all branch office supervisors before they assume their duties

Explanation: FINRA Rule 3110 requires member firms to establish, maintain, and enforce a system of supervision to supervise the activities of each registered person, including those in branch offices. This includes conducting inspections of branch offices at regular intervals based on the size and activity of the office.

9A registered representative opens an outside securities account at another broker-dealer. What notification requirement applies?

A.No notification is required for personal accounts

B.The representative must notify the employer and receive consent for accounts that can hold securities

C.Only accounts holding more than $25,000 require notification

D.Notification is only required for margin accounts

Explanation: FINRA Rule 3210 requires registered representatives to notify their employer member firm in writing and receive written consent before opening any account in which securities can be traded. This applies to accounts at other broker-dealers, banks, and financial institutions.

10A registered representative wants to participate in a private securities transaction outside the normal scope of their employment. What is the proper procedure?

A.Notify the firm after the transaction is completed

B.Provide written notice to the firm before participating and receive written approval

C.Private securities transactions are prohibited for all registered representatives

D.Only verbal approval from a supervisor is required

Explanation: FINRA Rule 3280 (Private Securities Transactions of an Associated Person) requires registered representatives to provide written notice to their member firm before participating in any private securities transaction. The firm must then provide written approval or disapproval of the person's participation.

About the Series 10 Exam

The Series 10 is the general supervision portion of the General Securities Sales Supervisor qualification. Combined with the Series 9, it qualifies supervisors to oversee all general securities sales activities including stocks, bonds, and options at a broker-dealer. The exam covers supervising associated persons, customer accounts, sales practices, and communications.

Questions

145 scored questions

Time Limit

4 hours

Passing Score

70%

Exam Fee

$235 (FINRA)

Series 10 Exam Content Outline

19%

Supervise Associated Persons and Determine Suitability

Hiring, registration, Form U4/U5, continuing education, outside business activities, supervision of reps

34%

Supervise Opening and Maintenance of Customer Accounts

Account documentation, suitability, account types, margin, transfers, complaints

36%

Supervise Sales Practices and General Trading Activities

Best execution, trade reporting, churning, front-running, market manipulation, recordkeeping

11%

Supervise Communications with the Public

Retail communications, advertising, social media, performance claims, principal approval

How to Pass the Series 10 Exam

What You Need to Know

Passing score: 70%
Exam length: 145 questions
Time limit: 4 hours
Exam fee: $235

Keys to Passing

Complete 500+ practice questions
Score 80%+ consistently before scheduling
Focus on highest-weighted sections
Use our AI tutor for tough concepts

Series 10 Study Tips from Top Performers

1Focus on account supervision (34% of exam) - master account documentation, suitability, and account types

2Master sales practices supervision (36% of exam) - understand best execution, prohibited activities, and trading supervision

3Know the difference between retail communications, correspondence, and institutional communications

4Understand Form U4/U5 requirements and continuing education rules

5Study FINRA Rule 2111 (Suitability) and its three components

6Review Regulation SHO (short sales) and the Market Access Rule

Frequently Asked Questions

What is the Series 10 exam?

The Series 10 is the general supervision portion of FINRA's General Securities Sales Supervisor qualification. Combined with the Series 9, it qualifies supervisors to oversee all general securities sales activities at a broker-dealer. The Series 10 covers supervising associated persons (hiring, registration, continuing education), customer accounts (opening, maintenance, suitability), sales practices (trading supervision, prohibited activities), and communications with the public.

Do I need to take Series 9 and Series 10 together?

Yes, to qualify as a General Securities Sales Supervisor, you must pass both the Series 9 (options supervision) and Series 10 (general supervision). You can take them in either order, but you need both for full qualification. The Series 10 is a 4-hour exam with 145 questions, while Series 9 is 1.5 hours with 60 questions. Many candidates take Series 9 first as it is shorter and more focused.

What is the Series 10 pass rate?

The Series 10 exam has an estimated pass rate of 65-70% for first-time test-takers. The exam is 145 questions (135 scored + 10 unscored pretest) with a 70% passing score (approximately 102 correct answers), taken over 4 hours. The comprehensive nature of the exam covering all aspects of securities supervision contributes to the challenging pass rate.

What are the prerequisites for the Series 10?

To take the Series 10, you must: 1) Pass the Securities Industry Essentials (SIE) exam, 2) Pass the Series 7 top-off exam, and 3) Be sponsored by a FINRA member firm. The Series 10 cannot be taken on its own for full supervisor qualification—it is always paired with the Series 9.

How long should I study for Series 10?

Plan for 60-80 hours of study over 6-10 weeks. Focus heavily on account supervision (34% of exam) and sales practices (36% of exam). Key areas include suitability requirements, account documentation, trading supervision, and communications rules. Complete at least 200 practice questions and score 80%+ consistently before scheduling your exam.

What is the difference between Series 9 and Series 10?

Series 9 is the options-specific supervision exam (60 questions, 1.5 hours) covering options accounts, sales practices, communications, and personnel. Series 10 is the general supervision exam (145 questions, 4 hours) covering all securities including stocks, bonds, and options. Series 10 focuses on account supervision, sales practices, and communications. You need both to fully qualify as a General Securities Sales Supervisor.