Introduction

Welcome to the Achievable Series 10 Course!

We’re glad you’re here as you prepare for the FINRA General Securities Sales Supervisor – General Exam (Series 10). This is an important milestone in your career as a securities professional, qualifying you to supervise a broad range of sales activities across your firm’s branch operations. Whether you’re a seasoned rep stepping into a supervisory role or a branch manager looking to formalize your credentials, this course is built to guide you every step of the way.

The Series 10 exam tests your knowledge of the critical supervisory functions that keep a securities firm compliant, client-focused, and well-run. This course walks through each of those functions in depth — from supervising personnel and managing customer accounts to overseeing sales practices and reviewing communications with the public. By the time you finish, you’ll have the foundational knowledge and confidence to sit for the exam and succeed in your supervisory role.

Eligibility

To be eligible to take the Series 10 exam, you must be associated with and sponsored by a FINRA member firm. There is no age requirement, but the following prerequisite exams must be passed before you can hold the General Securities Sales Supervisor registration:

• Securities Industry Essentials (SIE) Exam
• General Securities Representative Exam (Series 7)

The Series 10 is one half of the Series 9/10 qualification. The Series 9 (General Securities Sales Supervisor – Options Exam) is a co-requisite, meaning you must pass both the Series 9 and the Series 10 within a 120-day enrollment window for both scores to count toward your registration. You may sit for the Series 9 and Series 10 on the same day or on separate days.

Exam format

The Series 10 exam consists of 145 scored multiple-choice questions, plus 10 additional unscored pretest questions (155 total). The pretest questions are indistinguishable from scored questions, so treat every question with equal care. You will have 4 hours to complete the exam. The passing score is 70%.

Content outline

The 145 scored questions are distributed across four supervisory functions:

• Supervise Associated Persons and Personnel Management (28 questions) — Covers hiring and registration of associated persons, maintaining Forms U4/U5, continuing education requirements, conducting branch office inspections, and delegating supervisory responsibilities.
• Supervise the Opening and Maintenance of Customer Accounts (49 questions) — Covers reviewing new account documentation, assessing customer suitability, supervising account activity, evaluating margin accounts, and ensuring ongoing administrative compliance.
• Supervise Sales Practices and General Trading Activities (52 questions) — Covers recognizing and resolving customer complaints, managing trade error corrections, conducting daily reviews of trading activity, supervising employee trading, and ensuring product sales comply with applicable regulations.
• Supervise Communications with the Public (16 questions) — Covers oversight of retail and institutional communications, telemarketing compliance, review and approval of correspondence, and adherence to content standards.

Tips for success

The Series 10 covers a lot of ground, but with consistent daily effort and a clear study plan, it is very manageable. Here are a few recommendations to help you get the most out of this course:

• Study in short daily sessions. Even 20–30 minutes a day will build retention far better than long, infrequent cramming sessions. Consistency is the key to forming strong study habits.
• Click ‘Complete’ at the end of each chapter and keep up with your assigned reviews. The Achievable platform is designed to reinforce what you’ve learned through spaced repetition, and those reviews are a core part of the process.
• Identify your weak areas early. The Series 10 heavily tests regulatory nuance, so pay close attention to rules around supervision, registration, and customer account requirements. The sooner you know where you struggle, the more targeted your studying can be.
• Aim for well above 70% on practice exams. Building a comfortable buffer above the passing threshold will give you confidence and extra margin on test day.

Final thoughts

The wrapping-up section of this course contains more detailed information about registering for the Series 10 exam, exam costs, retake policies, and testing options.

This course is here to make the material clear, accessible, and exam-ready. You already have the professional experience — this course will give you the structured knowledge and exam-specific preparation to turn that experience into a passing score. Let’s get started!