Know the perquisites. You must have a current and valid Series 7 license in order to take the Series 9/10 Exam.
Identify how many questions are on the Series 9/10 Exam. This exam consists of 200 questions to be completed within five hours and fifty minutes.
Study the Series 9 topics: Options Strategies, Business Conduct, Customer Accounts and Contract Characteristics.
Recognize the Series 10 topics: Municipal Securities, Rule Making Board Rules, Sales Supervision, Customer Accounts, New Issues, Trading Markets, Investment companies, Retirement Plans and Financial Responsibility.
Plan on studying Options supervision, Municipal supervision and Primary and Secondary markets as well, as those subjects are included in this exam.