age 1 of 187
FINRA SERIES 10 EXAM STUDY GUIDE 2025/2026
ACCURATE QUESTIONS AND VERIFIED CORRECT
SOLUTIONS WITH RATIONALES || 100%
GUARANTEED PASS <RECENT VERSION>
A registered representative is called-up for active military duty.
During the time period that the individual is on military leave,
that person's registration is:
A. Terminated
B. Suspended
C. Inactive
D. Active ......ANSWER........C. Inactive
,age 2 of 187
If a registered individual is called-up for military duty, his or her
registration becomes "inactive" and basically sits there in
suspense until he or she returns to the securities business. Then it
simply picks up where it was left off.
Research personnel are permitted to:
A. offer to follow a company that is interested in using the
services of that firm's investment banking department to go
public by issuing quarterly research reports on that issuer.
B. offer to issue a "buy" recommendation to a company that is
interested in using the services of that firm's investment banking
department to go public
C. inform an issuer that if it does not use the firm's investment
banking services, that the broker-dealer will stop issuing
favorable research reports on that issuer
,age 3 of 187
D. inform an issuer that the broker-dealer is going to terminate
coverage because of a management decision to stop following
that industry ......ANSWER........D. inform an issuer that the
broker-dealer is going to terminate coverage because of a
management decision to stop following that industry
A registered representative posting on a blog is defined as:
A. advertising
B. sales literature
C. public appearance
D. correspondence ......ANSWER........A. Advertising
, age 4 of 187
FINRA defines interactive (real-time) content on blogs, social
networking sites and chat rooms as a public appearance. On the
other hand, non-interactive (static) content on blogs, social
networking sites and chat rooms is defined as advertising.
A registered representative makes an appointment to meet a
customer at the local diner to discuss her portfolio. FINRA defines
the meeting place as a(n):
A. office of convenience
B. branch office
C. satellite office
D. non-branch office ......ANSWER........A. office of convenience
FINRA SERIES 10 EXAM STUDY GUIDE 2025/2026
ACCURATE QUESTIONS AND VERIFIED CORRECT
SOLUTIONS WITH RATIONALES || 100%
GUARANTEED PASS <RECENT VERSION>
A registered representative is called-up for active military duty.
During the time period that the individual is on military leave,
that person's registration is:
A. Terminated
B. Suspended
C. Inactive
D. Active ......ANSWER........C. Inactive
,age 2 of 187
If a registered individual is called-up for military duty, his or her
registration becomes "inactive" and basically sits there in
suspense until he or she returns to the securities business. Then it
simply picks up where it was left off.
Research personnel are permitted to:
A. offer to follow a company that is interested in using the
services of that firm's investment banking department to go
public by issuing quarterly research reports on that issuer.
B. offer to issue a "buy" recommendation to a company that is
interested in using the services of that firm's investment banking
department to go public
C. inform an issuer that if it does not use the firm's investment
banking services, that the broker-dealer will stop issuing
favorable research reports on that issuer
,age 3 of 187
D. inform an issuer that the broker-dealer is going to terminate
coverage because of a management decision to stop following
that industry ......ANSWER........D. inform an issuer that the
broker-dealer is going to terminate coverage because of a
management decision to stop following that industry
A registered representative posting on a blog is defined as:
A. advertising
B. sales literature
C. public appearance
D. correspondence ......ANSWER........A. Advertising
, age 4 of 187
FINRA defines interactive (real-time) content on blogs, social
networking sites and chat rooms as a public appearance. On the
other hand, non-interactive (static) content on blogs, social
networking sites and chat rooms is defined as advertising.
A registered representative makes an appointment to meet a
customer at the local diner to discuss her portfolio. FINRA defines
the meeting place as a(n):
A. office of convenience
B. branch office
C. satellite office
D. non-branch office ......ANSWER........A. office of convenience
