Series 10 Exam Study Guide 2022 + Test Bank

Book Preface

You are on your way to becoming a registered principal, licensed to supervise a broker dealer’s general securities business. e Series 10 exam will be presented in a 145-question multiple-choice format. Each candidate will have four hours to complete the exam. A score of 70% or higher is required to pass. Your textbook and exam prep so?ware from e Securities Institute will ensure that you have the required knowledge to pass the Series 10 exam and that you are con?dent in the application of that knowledge during the exam.

TAKING THE SERIES 10 EXAM

e Series 10 exam is presented in multiple-choice format on a touch-screen computer known as the PROCTOR system. No computer skills are required, and candidates will ?nd that the test screen works in the same way as an ordinary ATM machine. Each test is made up of 145 questions that are randomly chosen from a test bank of several thousand questions. e test has a time limit of four hours, which is designed to provide enough time for all candidates to complete the exam. Each Series 10 exam will comprise questions that focus on the following areas:

About This Book

The writers and instructors at e Securities Institute have developed the Series 10 textbook, exam prep software, and videos to ensure that you have the knowledge required to pass the test and that you are confident in the application of that knowledge during the exam. e writers and instructors at e Securities Institute are subject-matter experts as well as Series 10 test experts. We understand how the test is written, and our proven test-taking techniques can dramatically improve your results.
Each chapter includes notes, tips, examples, and case studies with key information, hints for taking the exam, and additional insight into the topics. Each chapter ends with a practice test to ensure that you have mastered the concepts before moving on to the next topic.