Series 9/10 General Securities Sales Supervisor
MGL Consulting Corporation will offer a preparatory Series 9/10 classroom training session. This three-day seminar will be held at MGL’s headquarters in The Woodlands, TX (near Houston).
The General Securities Sales Supervisor Examination (a combination of Series 9 and Series 10) is intended to test a candidate’s knowledge of securities industry rules and certain statutory provisions applicable to the supervision of sales activities at a general securities branch office.
Candidates must successfully complete both the Series 9 and 10 exams in order to become a General Securities Sales Supervisor. These exams may be taken in any order at any time within the 120-day enrollment period.
Areas of discussion for the Series 9 class will include:
- Introduction to Options
- Income & Hedging Strategies
- Multiple Option Strategies
- Nonequity Options
- Options Accounts and Supervision
- Trading Practices and Margin
Areas of discussion for the Series 10 class will include:
- Sales Supervision
- Customer Accounts
- Trading and Market Making
- Investment Banking
- Investment Companies and Retirement Plans
- Municipal Securities
It is recommended that you spend approximately 40 - 60 hours for the Series 9 and 40 - 60 hours for the Series 10, reading the pre-study material and answering the questions prior to attending the class.
Series 9 and Series 10 classes may be purchased separately.