ARE THERE ANY PREREQUISITES FOR THE SERIES 10? A general securities principal must have passed the Series 7 exam prior to taking the Series 10 exam. HOW DO I SCHEDULE AN EXAM? Ask your rm’s compliance department to schedule the exam for you or to provide a list of test centers in your area. You must be sponsored by a FINRA member rm prior to making an appointment. e Series 10 exam may be taken any day that the exam center is open. WHAT MUST I TAKE TO THE EXAM CENTER? A picture ID is required. All other materials will be provided, including a calculator and scratch paper. HOW SOON WILL I RECEIVE RESULTS OF THE EXAM? e exam will be graded as soon as you answer your nal question and hit the Submit for Grading button. It will take only a few minutes to get your results. Your grade will appear on the computer screen, and you will be given a