If you need to be registered as a principal and your responsibilities will be limited to sales supervision as a branch office manager in a member firm. Covers sales and account supervision, regulation of options, municipal securities regulation, compliance, and record keeping. A Series 7 or Series 17 pass is a pre-requisite.
To achieve the full title of Branch Office Manager you must pass both the Series 10 and Series 9 exams. A Series 7 or Series 17 pass is a prerequisite.
4 hours 145 questions
Around 30-35 hours
Study Manual - printed
Practice Examinations & Explanations - printed, CD-Rom, Interactive
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