Series 9 and Series 10 Exam - Securities Sales Supervisor Products Series 9 and 10 General Securities Sales Supervisor Any person who manages or supervises the daily activities of a NYSE-member broker/dealer's sales staff is required to take this examination by FINRA (NASD), NYSE, the various options exchanges, and the MSRB (Municipal Securities Board). Series9exam.com~Site InfoWhoisTrace RouteRBL Check