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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.
?Trading
?Market making
?Underwriting
?Advertising
The Series 9/10 Exam is designed to assess the competency of General Securities Sales Supervisors in the following fields:


?Sale of Corporate Securities
?Rights
?Warrants
?Closed-End Funds
?Money Market Funds
?REITs
?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)
http://www.finra.org/industry

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.