Series 10 Exam — Mock Exams & Practice Tests

The Series 10 (General Securities Sales Supervisor Qualification Exam) is Part 1 of the Series 9/10 qualification. It focuses on supervising day-to-day sales practices, account opening/maintenance, customer protection workflows, and communications across a broker-dealer’s general securities business.

Key points:

• Sponsorship required: you must be associated with a FINRA member firm (or other applicable SRO member firm) to sit for Series 10.
• Corequisites: SIE + Series 7 (high level; confirm your firm’s required qualification path).
• Series 9/10 registration: to qualify for the General Securities Sales Supervisor registration, you generally must pass Series 10 + Series 9 within the required window (FINRA guidance is the source of truth).

Use this hub as your study flow:

• Overview: exam format, timing, score, and what’s tested
• Syllabus: blueprint → functions → learning objectives (practice links included)
• Cheatsheet: supervision mindset, workflows, and high-yield traps
• Practice: timed mocks + targeted drills
• FAQ: prerequisites, Series 9 relationship, and logistics
• Resources: official FINRA links and the content outline PDF
• Updates: content changes and syllabus mapping updates

In this section

• Series 10 Cheatsheet — Supervision, Accounts, Sales Practices & Communications
  High-yield FINRA Series 10 reference: supervisory mindset, new accounts and AML controls, funds movement and margin supervision, sales practice surveillance, complaints and trade errors, and communications review standards.
• Series 10 Exam Overview — Format, Weights & Eligibility
  Understand FINRA Series 10 (General Securities Sales Supervisor) at a glance: structure, timing, passing score, function weights, eligibility, and prerequisites.
• Series 10 FAQ — Common Questions & Quick Answers
  Answers to common questions about the FINRA Series 10 exam: eligibility and sponsorship, SIE/Series 7 corequisites, relationship to Series 9, exam format/timing, and how to study.
• Series 10 Practice — Mock Exams & Topic Drills
  Launch Series 10 practice: timed mocks and targeted drills mapped to FINRA’s Series 10 job functions with detailed explanations.
• Series 10 Resources — Official FINRA Links & Content Outline
  Official resources for the FINRA Series 10 (General Securities Sales Supervisor, Part 1 of Series 9/10) exam: exam page, content outline PDF, and key rule references.
• Series 10 Syllabus — Blueprint & Learning Objectives
  FINRA Series 10 syllabus mapped to the official job functions with clear learning objectives and quick links to targeted practice.
• Series 10 Updates — Blueprint & Content Changes
  Track changes to the Series 10 study hub: syllabus mapping, cheat sheet refinements, practice coverage, resources, and copy updates.