The General Securities Sales Supervisor registration (SU) is one limited FINRA principal category requiring both the Series 9 options module and Series 10 general module, together with the Securities Industry Essentials exam and Series 7. It is limited to sales supervision, including customer-account approval, sales and personnel training, and specified branch records. It does not by itself authorize underwriting origination or structuring, market-making or trading commitments, custody compliance, overall financial-responsibility compliance, or broader options or municipal-principal functions. The employing firm requests the registration; examination passage alone does not create registration or supervisory authority.
License details
- License summary
- FINRA General Securities Sales Supervisor (SU) registration pathway requiring both Series 9 and Series 10 exam parts.
- General renewal / maintenance overview
- FINRA registration, annual Regulatory Element and applicable Firm Element continuing education, and qualification-maintenance rules apply by category and current rule.
Source governance
- Primary authoritative source
- https://www.finra.org/rules-guidance/rulebooks/finra-rules/1220
- Last reviewed / verified date
- 2026-08-30
Compare education providers
Alphabetical options; compensation never determines eligibility or placement. Confirm the exact course and jurisdiction before enrolling. This directory is not exhaustive.
No currently verified published offerings match. Check official provider and regulator resources; additional options may exist.