Series 9/10 Cheat Sheet.
The night-before summary, built like the exam.
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the numbers to know before exam dayFull write-up
the complete guide, in proseSeries 9/10 at a Glance
The General Securities Sales Supervisor Qualification is delivered in two parts: Series 9 (options supervision) and Series 10 (general supervision). Together they cover 200 multiple-choice questions, and you must score at least 70% on each part to qualify.
- Total items: 200 multiple-choice questions across both parts.
- Passing standard: 70% on each part (Series 9 and Series 10 are scored and passed separately).
- Structure: Series 9 focuses on options-account supervision; Series 10 covers general-securities branch supervision.
What Each Part Supervises
Series 9 (Options): Supervising options account opening/approval, options communications, position and exercise limits, and options-specific suitability and disclosure.
Series 10 (General): Supervising hiring/qualification/registration of associated persons, general customer accounts, trading, and firm business conduct.
Must-Remember Supervisory Rules
- Written Supervisory Procedures (WSPs): A supervisor must maintain and apply written procedures reasonably designed to achieve compliance; review and update them as rules change.
- Correspondence & communications: Retail communications generally require principal pre-approval or documented supervisory review; keep evidence of review (initials/date/electronic sign-off).
- New accounts: Confirm required customer information, obtain principal approval, and verify suitability before recommendations.
- Options accounts: Deliver the Options Disclosure Document (ODD) at or before approval; a designated options principal must approve the account; obtain the signed options agreement within the required window.
- Discretionary accounts: Require prior written authorization and prompt principal approval; each discretionary order must be reviewed frequently.
- Complaints: Log, review, and retain written customer complaints; escalate and report as required.
Suitability & Recommendations
- Match recommendations to the customer's investment profile (objectives, risk tolerance, time horizon, liquidity needs, experience).
- Higher-risk strategies (uncovered options writing, margin) demand documented suitability and heightened supervision.
Test-Day Reminders
- Because it is 200 questions total, budget your time — pace yourself across both parts.
- You must clear the 70% bar on each part; a strong score on one part does not offset a fail on the other.
Frequently asked questions
What should I memorize for the Series 9/10?
Prioritize the numbers and rules that show up in supervisory scenarios: approval and review requirements for accounts and communications, options-specific supervision rules for the Series 9 part, and the key reporting and recordkeeping timeframes for the Series 10 part. Also lock in the exam logistics themselves — 200 questions across the two parts with a 70 required to pass each part. The cheat sheet condenses these must-know items into one printable page per part.
What are the most common traps on the Series 9/10?
The exam loves to test who must act, not just what the rule is — answers often hinge on whether a task requires a principal versus a registered representative. Watch for near-miss timeframes (deadlines that differ by a day or a business-day versus calendar-day distinction) and for options questions that mix customer suitability with supervisory approval steps. Slow down on any question where two answer choices differ only in who signs off or when.
How should I use the cheat sheet the night before the exam?
Use it as a final-pass review, not a cram session — by the night before, every line should feel familiar, and you are just refreshing recall. Read it top to bottom once, star anything that makes you hesitate, and re-check only the starred items in the morning. Then stop; a rested brain outperforms one more hour of anxious rereading on a two-part supervision exam.
Is a cheat sheet enough to pass the Series 9/10?
No — a cheat sheet is a memory aid, not a study program. The Series 9/10 tests your ability to apply supervision rules to realistic branch-office scenarios, which you only build through reading the material and working practice questions under timed conditions. Use the cheat sheet to lock in the memorizable facts so your practice sessions can focus on judgment and application.
Can I print the Series 9/10 cheat sheet?
Yes, it is designed to print cleanly so you can review it away from a screen — on the train, at lunch, or during the final morning before your appointment. Printing also lets you mark it up: highlight the timeframes you keep forgetting and cross off items once they feel automatic. Just remember you cannot bring any notes into the actual testing center.
Sources
- 1.Series 9/10 Exam Overview — FINRA (accessed Jul 7, 2026)
- 2.FINRA Qualification Exams — FINRA
- 3.Enroll for a FINRA Exam — FINRA
- 4.FINRA Exam Scheduling (Prometric) — Prometric
Official sources
Primary documents used to verify the exam details shown on this page.
- General Securities Sales Supervisor Exam (Series 9 and 10)FINRAfinra.org
- Securities Industry Essentials (SIE) ExamFINRAfinra.org
- General Securities Representative Exam (Series 7)FINRAfinra.org
- FINRA Rule 1220 — Registration CategoriesFINRAfinra.org
- Qualification Exams OverviewFINRAfinra.org
- Series 9/10 Exam OverviewFINRAfinra.org
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