Conquer the Series 9 and 10 Exams in Under 90 Minutes: Quick Review of Equity and Options Supervision, Compliance, and FINRA Rules for General Securities Principals

By: Philip Martin McCaulay

Narrated by: Virtual Voice

One concise guide for two essential exams — prepare for Series 9 and Series 10 in under 90 minutes.

If you’re seeking principal-level authority in the securities industry, passing the Series 9 and Series 10 Exams is key. This focused review covers the core supervisory responsibilities for equity and options trading, compliance requirements, and key FINRA rules — all streamlined into an efficient format perfect for busy professionals.

Designed for quick yet comprehensive coverage, this guide walks you through supervision best practices, regulatory responsibilities, disciplinary processes, and the critical concepts you must master for both exams. Its audiobook-friendly structure makes it ideal for review sessions on the go.

Whether you’re advancing to a supervisory role or strengthening your regulatory expertise, this quick study resource delivers the high-yield material you need — without wasting your time.

If you’ve already invested time and money into preparing — don’t leave success to chance. This sharp, targeted review is here to help you pass both exams the first time.

This study guide is an independent publication and is not affiliated with, endorsed by, or sponsored by the Financial Industry Regulatory Authority (FINRA) or any other regulatory agency. This material is intended as a concise review to assist candidates preparing for the Series 9 and Series 10 Exams. It should be used alongside comprehensive study resources and official regulatory materials.