Series 10 Resources — Official FINRA Links & Content Outline

Use these official resources as your source of truth.

Exam page & outline

• Series 9/10 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series9-10
• Series 9/10 Content Outline (PDF): https://www.finra.org/sites/default/files/Series_9-10_Outline.pdf

Corequisites and related exams

• SIE exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie
• Series 7 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series7

High-yield FINRA/SEC references (Series 10 scope, high level)

• Supervision (FINRA Rule 3110): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3110
• Communications with the Public (FINRA Rule 2210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210
• KYC (FINRA Rule 2090): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2090
• Suitability (FINRA Rule 2111): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111
• Anti-Money Laundering (FINRA Rule 3310): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3310
• Margin Requirements (FINRA Rule 4210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4210
• Regulation Best Interest (Exchange Act Rule 15l-1): https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15l-1
• Regulation S-P (privacy): https://www.ecfr.gov/current/title-17/chapter-II/part-248