200+ Free Series 10 Practice Questions
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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.
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
Supervise Associated Persons and Determine Suitability
Hiring, registration, Form U4/U5, continuing education, outside business activities, supervision of reps
Supervise Opening and Maintenance of Customer Accounts
Account documentation, suitability, account types, margin, transfers, complaints
Supervise Sales Practices and General Trading Activities
Best execution, trade reporting, churning, front-running, market manipulation, recordkeeping
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
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.