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Licensed Occupation
Licensed Occupation      (United States)

License Description:
A general securities principal’s supervisory responsibilities are governed by the limitations of his or her representative level registrations. Covered supervisory activities include regulatory compliance over the following.
?Market making
The Series 9/10 Exam is designed to assess the competency of General Securities Sales Supervisors in the following fields:

?Sale of Corporate Securities
?Closed-End Funds
?Money Market Funds
?Asset-Backed Securities
?Mortgage Backed-Securities (Corporate)
?Equity Options

?Options on (corporate) Backed-Securities
?Mutual Funds
?Variable Annuities and Variable Life Insurance
?Government Securities
?Repos and Certificates of Accrual on Government Securities
?Municipal Securities and Municipal Fund Securities
?Direct Participation Programs

License Agency:
Financial Industry Regulatory Authority (FINRA)

Source: CareerOneStop, sponsored by the U.S. Department of Labor (USDOL).
Note: Information on licensed occupations is gathered in each state by Labor Market Information units under a grant from USDOL. States are required to submit updated license information once every two years.