Series 9/10 License Practice Test
Your Proven Shortcut to Series 9/10 License Success
Get exam-style questions, detailed explanations, and realistic timing to master the latest Financial Industry Regulatory Authority (FINRA). Prepare Series 9/10 License practice test then walk into your Finance, Insurance and Real Est exam with confidence.
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Series 9/10 License exam questions reflect both multiple-choice and scenario/performance-style prompts aligned to exam objectives.
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Every question includes a clear explanation, so you know why an answer is correct.
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Exam Simulator
Get a feel for the real exam with our Financial Industry Regulatory Authority (FINRA) practice test.
Why Choose PrepHOW for Series 9/10 License Practice Questions
Train the way you'll be tested. With the most clinically accurate, expertly written question bank, you’ll build the speed, accuracy, and confidence needed to pass the Series 9/10 License on your first attempt.
- 1. Practice & Exam modes to switch between learning and testing
- 2. Detailed answer explanations for every question
- 3. Instant scoring & feedback to show what you missed and why
- 4. Smart dashboard to track strengths, weaknesses, and progress
- 5. Study anywhere with mobile-friendly design
- 6. Updated Series 9/10 License questions bank to match the latest exam changes
- 7. Free practice test to start - no credit card required
Real Exam Feel
Mock Exam/Study modes, question flagging, and instant or end-of-exam feedback.
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Trend charts so you can see when you're consistently above the passing scrore.
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Frequently Asked Questions
What is the Series 9/10 exam?
The Series 9 and 10 are two separate FINRA qualification exams that together test your ability to work as a general securities sales supervisor. Think of them as one combined exam split into two parts. You need to pass both to supervise sales activities at a broker-dealer branch office.
What are the prerequisites for taking the Series 9/10?
You must first pass the Securities Industry Essentials exam and the Series 7 exam to be eligible. You also need to be sponsored by a FINRA member firm or another self-regulatory organization member firm. You cannot take these exams without a sponsoring company.
How long do I have to complete each exam?
The Series 9 exam has a time limit of 90 minutes, and the Series 10 exam allows 4 hours. This gives you approximately 1.6 minutes per question on both exams. If you read slowly or struggle with complex scenarios, time management becomes critical for completing all questions.
What topics are covered on the Series 9 exam?
Series 9 focuses on supervising customer options accounts and options trading activities. The exam covers opening and maintaining options accounts, risk disclosure requirements, trading practices, and applicable regulations. Options can be tricky even for experienced people, so expect detailed questions on spreads, strategies, and suitability.
What topics are covered on the Series 10 exam?
Series 10 is broader. It covers supervising sales activities across corporate securities, municipal securities, investment company products, variable contracts, government securities, and direct participation programs. You'll also be tested on personnel management, communications with the public, and record keeping requirements.
What study materials should I use?
You'll need comprehensive study guide since FINRA only provides the content outline. Most candidates use prep courses from Prephow. At minimum, get a detailed study material, practice exams, and access to thousands of practice questions. Don't try to wing this with just the outline.
How long should I study for the Series 9/10?
Most sources recommend at least 40 hours of study time for Series 9 and at least 70 hours for Series 10. Another guideline suggests 30-45 hours over 3-5 weeks for Series 9, and 70-80 hours over 6-8 weeks for Series 10. Don't shortcut this. These exams cover complex material.
How difficult is the Series 9/10 exam?
The exams are challenging and both have approximately 70% pass rates according to FINRA. But here's the thing: the people taking these tests are effectively managers with multiple years operating with a Series 7 license under their belt. A 70% pass rate among experienced professionals tells you these aren't easy exams.