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This exam is administered by The Financial Industry Regulatory Authority (FINRA).
Enrollment Fee:
$110 US. Note that this is the examination enrollment fee ONLY--other fees may also apply.
Prerequisite:
You must be sponsored by a FINRA member firm and must have already passed the series 7 exam.
Format:
Multiple Choice
Number of Questions:
| Objective |
# Questions |
| Supervision of Accounts & Sales Activities |
94 |
| Municipal Securities Regulations |
20 |
| Conduct of Associated Persons |
14 |
| Hiring, Qualifications & Continuing Education |
9 |
| Record Keeping Requirements |
8 |
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| TOTAL |
145 |
Each candidate will be allowed 240 minutes to complete the examination. This time limit has been designed to provide enough time for
all candidates to complete the exam. A score of 70% or higher is required to pass the series 10 exam.
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