The Series 9/10 exams are administered by the Financial Industry Regulatory Authority (FINRA) and was formerly known as the Series 8 Exam. A: Both Series 9/10 and 24 are the exams that must be completed by a principal before he or she can undertake certain sales activities. The Series 9 and 10 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required.
Series 6 - Investment Company and Variable Contracts Products Representative Exam, 90, 50, $ Series 7 - General Securities Representative Exam, The following is a list of securities examinations and the organizations that offer them. 7 Europe; 8 See also; 9 References; 10 External links . Series 4 – Registered Options Principal Exam; Series 9 – General Securities Sales Supervisor. The test covers topics in the Series #4, Series #24, and Series #53 exams. Options Module (formerly Series 8 Part I); Prerequisite Series #7; $80 test fee ( Form.
The exam is administered in two parts: Part one covers options and The Series 8 does not qualify an individual to supervise functions other than sales. This is my third post on credentialing, the first of which is about the Certified Bitcoin Professional Exam (CBP), the second on the Series 3 and. The Financial Industry Regulatory Authority, Inc. (FINRA) is the self-regulating body for the financial industry, responsible for setting regulations and standards. NISM Series 8 Equity Derivatives examination is a mandatory examination for individuals and associated persons involved in selling and trading of equity.