10 free Series 9/10 practice questions in the real exam format, covering the official content areas, with an explanation for every answer.
Series 9/10 Practice Test 10Tutor mode
Question 1 of 10
Series 10: Supervise Sales Practices and General Trading Activities
Quarry Point Energy was added to the restricted list of Thornbury Securities after the close on April 6, when the firm's banking role became public, and it remains on the list. A supervisor reviews the employee trades below. Which trade requires follow-up as a restricted-list violation?
Employee trade review — week of April 6
Employee
Account
Date and time
Trade
Paloma Reyes
Firm account
April 2, 11:20 a.m.
Bought 200 Quarry Point Energy
Tobias Sandoval
Outside account (duplicate statements)
April 8, 10:05 a.m.
Bought 150 Quarry Point Energy
Mariana Vu
Firm account
April 6, 10:15 a.m.
Bought 300 Quarry Point Energy
Wendell Ortiz
Firm account
April 9, 2:40 p.m.
Bought 50 shares of an energy-sector ETF that holds Quarry Point