The Basic and the Basic Plus Self-Study Solutions include both print and online study tools designed to fit your study style and schedule. We know you're a busy professional, and we know you need to pass, The First Time!
That's why all our Study Solutions are built on our proven LEARN • PRACTICE • RETAIN™ method. This 3-step system for success helps students LEARN the curriculum, PRACTICE new skills, and RETAIN key concepts so you are fully prepared to pass your Securities exam.
Secure Your Future, Ensure Your Success. Pass your Securities Licensing exam!
Our new OnDemand Online Class allows you to view the course from beginning to end at your leisure. These courses provide you the same high-level of instruction you would expect from a live class.
Concise and easy-to-use, these study notes highlight critical exam-focused content. This resource provides students with a convenient note-taking format for organized, post-class review.
A comprehensive textbook covering all aspects of the exam. Short, focused
paragraphs with numerous graphics and exercises help students learn
faster and retain critical information.
Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create personal notes and bookmarks for future reference.
Designed to closely replicate the true exam experience, both in terms of the degree of difficulty and topical coverage.
Validated as a test of preparedness, this exam may be taken just once and provides a score and diagnostic feedback without
answer explanations. It is a sound indicator of potential actual exam scores: the better students do on this exam, the more
likely they are to pass their Series exam.
A unique combination of online instructional resources and interactive support tools designed to help students pass their Securities exam. Consists of:
Searchable FAQs - A database of past questions asked of our instructors that allows students to search by topic and keywords.
Exam-tips Blog - A blog by Securities content experts featuring exam tips, strategies, and motivational help. Provides students with additional exam-prep focus. Add the blog to your list of RSS feeds for instant notification of new postings.
Test Alerts - A component of the blog, Test Alerts keep students informed of regulatory updates as well as any modifications to the content of their study materials.
Study Calendar - A downloadable PDF of recommended study activities and timing.
Note: Online products expire 12 months from the date of purchase.
General Information
FINRA requires its members and employees of its members to pass a qualification exam to become registered as a General Securities Sales Supervisor. This exam tests your knowledge of securities rules and regulations in preparing for supervising the sales activities in corporate, municipal and options securities, and more. You must pass the Series 9 and the Series 10 exams to be qualified to supervise the purchase and sale of nonexempt securities.
Pre-Requisites: Series 7
Type of Exam: 145 Multiple-choice questions
Exam Duration: 4 hours
Passing Grade: 70% or above
Fee: $110.00
Outline of Topics Covered:
Hiring Qualification, and Continuing Education
Supervision of Accounts and Sales Activities
Conduct of Associated Persons
Recordkeeping Requirements
Municipal Securities Regulation
Attention Tennessee Students:
Kaplan Financial Education is authorized for operation
as a postsecondary educational institution by the
Tennessee Higher Education Commission.
In order to view detailed job placement and graduation information on the
programs offered by Kaplan Financial Education, please visit
www.state.tn.us/thec
and click on the Authorized Institutions Data button.
Structured Study Program (SSP) - Available for Series 6, 7, 63, 65 and 66
Finally, an Answer for Training Directors.
SECURITIES TRAINING SOLUTIONS THAT WORK!
Monitor the progress and performance of your employees whenever you want! Employees falling behind are automatically identified with an “At Risk” alert. Our Structured Study Program (SSP) puts you in control and drives employee accountability.
This simple and effective learning management program combines our Premium Instruction Solution with a comprehensive suite of online tools for tracking and reporting. Maximize the return on your training investment with SSP!
OnDemand Reporting
This innovative approach to Securities Training allows you to efficiently monitor the progress and performance of your employees. Available for Series 6, 7, 63, 65, and 66, SSP is a cost-effective, results-driven solution intended to get your reps licensed as quickly as possible.
Interactive Online Study Calendar
Students create their individualized study calendar with our dynamic online program. This results-driven process blends the core components of our Premium Instruction Solution with a study plan consistent with the firm's requirements to ensure exam readiness.
Our Structured Study Program combined with the new Premium Instruction Solution puts your employees in the best position to pass their Securities Licensing Exam!
Available for Series 6, 7, 63, 65, and 66.
Set up your firm’s Structured Study Program today!
Request More Information (Training Directors Only):
Through a partnership with MGLU, a live classroom option for your Series 10 studies is available. These classes support the Kaplan Financial Education study materials you will receive with your purchase of the Series 10 Basic Self Study Solution.
If you prefer live class support please note the following:
The MGLU Series 10 class offering is an exam focused, interactive presentation. To get the maximum benefit from your class it is suggested that you spend 40-60 hours of prestudy using the materials contained in your Kaplan Financial Education Series 10 Basic Self Study Solution package. Live classroom registration can be done immediately following your purchase of the Basic Self Study Solution or later in your study process. Classroom location, dates and registration information can be found by visiting www.mglu.com.
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