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Aug 1, 2005 3:31 pm

Has anyone taken the Series 9 & 10?

Aug 3, 2005 11:34 pm

My assistant is studying for it now. It appears to be the same stuff we had to take for the Series 8 with more questions.


Be sure you:


Understand options and the math behind them


Understand margin accounts


Know what came from Securities act of '33, Securities Exchange act of '34 & Investment Company act of '40.


Allowable communication & public information


Ethics


and much more...


I have to confess to having taken the Series 8 many years ago. Anyone who can give more insight on the new registration feel free to add and contradict me if necessary.


Aug 10, 2005 11:38 am

thanks for your insight.


which books is she using?