Series 10 Exam - FINRA Practice Test Prep & Study Guide (35 Must Memorize Questions)

Описание: If you’re preparing for the FINRA Series 10 and you want practice that mirrors how supervisors are actually tested, this video walks you through 35 must-memorize questions with explanations that build real decision-making speed. It’s designed for candidates who need to master supervision rules, communications standards, complaint handling, AML responsibilities, and day-to-day branch oversight so you can recognize what the exam is getting at and choose the best answer with confidence.

You’ll strengthen your grasp of the principal’s core supervisory obligations, including how to evaluate and document outside business activities and private securities transactions, what “reasonable basis” suitability really requires, and how supervision applies to discretionary accounts, options accounts, and high-risk sales practices like churning or front-running. The explanations clarify what needs principal approval, what must be escalated immediately, and how firms maintain compliant workflows through written supervisory procedures, inspections, and ongoing monitoring of correspondence and electronic communications.

The mock questions also reinforce the compliance and regulatory frameworks Series 10 candidates are expected to know cold, such as record retention under FINRA rules, when and how firms handle written customer complaints, rules governing retail versus institutional communications, and key disclosure requirements like the Options Disclosure Document. You’ll also review essential supervision topics tied to financial crime and customer protection, including AML programs and SAR awareness, identity theft “red flags” under Regulation S-ID, restrictions on borrowing or lending with customers, and pay-to-play limits for municipal business under MSRB Rule G-37.

This video is ideal for Series 10 test-takers, aspiring sales supervisors and principals, registered representatives moving into leadership, and broker-dealer professionals who want a structured refresher on supervision standards before exam day. If this helped your prep, subscribe for more high-difficulty FINRA practice sets, comment with the question you found most confusing so I can break it down, and share this with a coworker or study partner getting ready for the Series 10.

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