Should I take the Series 24 exam or the series 9/10 exam?

The Series 9 and series 10 exams register an individual as a General Securities Sales Supervisor and is a limited principal examination. It qualifies an individual to supervise sales activities of a broker/dealer who are members of an exchange, The Municipal Securities Rulemaking Board, and FINRA, The Series 9/10 qualifies the branch manager to supervise sales activities in corporate securities (equity and debt), investment company products and variable contracts, municipal securities, options, government securities and direct participation programs The General Securities Sales Supervisor Exam does not allow the sales supervisor/branch manager to supervise underwriting, trading, advertising, or overall firm compliance.

The Series 24, General Securities Principal Exam, qualifies a candidate as a general securities principal for FINRA only. Passing the Series 24, allows an individual to supervise all areas of the member's investment banking and securities business, such as underwriting, trading and market making, advertising, or overall compliance. While the scope of the general securities principal's supervisory authority is broader than the Series 9/10, the Series 24 is limited in the products that it covers. The general securities principal qualification does not cover government securities, municipal securities and options.

Take some free series 24 exam questions on our site at:
http://www.securitiesce.com/web/pages/series24/index.php

Take some free series 9 exam questions on our site at:

http://www.securitiesce.com/web/pages/series9/index.php

Take some free series 10 exam questions on our site at:

http://www.securitiesce.com/web/pages/series10/index.php