Regulatory Notice 16-02

FINRA Revises the Series 9/10 Examination Program

Implementation Date: March 7, 2016

Executive Summary

FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter the examinations cover. Based on this review process, FINRA has revised the General Securities Sales Supervisor (Series 9/10) examination program.

The changes are reflected in the Series 9/10 content outline on FINRA’s website and will appear in Series 9/10 examinations administered on or after March 7, 2016.

Questions regarding this Notice should be directed to:

  • Carl Rubin, Qualifications Analyst, Testing and Continuing Education Department, at (240) 386-6446; or
  • Gemma Sartori, Qualifications Analyst, Testing and Continuing Education Department, at (212) 858-4146.