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Series 23 - General Securities Principal—Sales Supervisor Module
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
Licensing Agency
Financial Industry Regulatory Authority (FINRA)
Active Status Active
Continuing Education Continuing education required to maintain license
Criminal Record Background check required
Education No educational requirements
Exam State exam required
License Type Stand-alone license
License Updated 07/19/2019
Physical Requirements No physical requirements

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