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KAPLAN Financial's (formerly Dearborn's Passtrak) Securities Licensing Exam Prep programs have helped thousands of prospective agents and representatives pass their licensing exams on the first try.

The entire system is structured to build knowledge, confidence, and exam-readiness. Each program is extremely efficient, so your time is well-spent. The programs are focused, realistic and relevant—aimed at helping you build knowledge to enhance your pass-rate success.

You may notice that some of the programs are now first editions -- after having been sometimes up to their 19th and even 34th editions.  These first editions are updated versions of those older editions that are now under the Kaplan Financial umbrella.  Rest assured that they are the same successful programs.

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KAPLAN FINANCIAL SERIES 10
General Securities Sales Supervisor Exam

This exam is required by the NYSE and qualifies an individual to supervise the sales activities of a broker/dealer.

EXAM PREREQUISITES:

Series 7 (General Securities Representative) license.

THE EXAM:

The Series 10 exams are administered by the NASD.  Series 10 consists of 145 questions with 240 minutes for completion.  The tests contain true/false and multiple-choice questions.  The exams are computer-based and no special computer skills are required.   Students are provided with scratch paper, pencil, and a simple calculator at the testing center.  A score of at least 70% is required to pass.

PREMIER SET
The PREMIER SET contains a License Exam Manual, Drill & Practice CD-ROM and Practice Final Exams

The License Exam Manual assists in preparing for the Series 10 exam.  The book consists of six lessons and six lesson exams and covers the following topics:

  • Sales supervision
  • Customer accounts
  • Trading and market making
  • Investment banking
  • Investment companies and retirement plans
  • Municipal securities

The Drill & Practice CD-ROM complements the License Exam Manual and gives students a database of exam-focused questions with a rationale for each question that clarifies concepts and improves retention. Also included are multiple practice exams that siulate the actual NASD exam in proportional topic and weighting

Four Practice Final Exams
Regular price: $259.00; Our price:  $246.00
LICENSE EXAM MANUAL
Regular price: $169.00; Our price:  $160.50
DRILL & PRACTICE CD-ROM
Regular price: $129.50; Our price, $123.00
3rd edition, March 2008
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