Series 9
General Securities Sales Supervisor - options
The Series 9 Exam is a principal level FINRA exam that qualifies individuals to supervise sales activity in options. The Series 9 Exam is typically taken with the Series 10 Exam by individuals responsible for general securities sales supervision, including the approval of customer accounts, training of sales and sales supervisory personnel and the maintenance of records.
exam details
Format: 55 multiple-choice questions
Duration: 1 hour, 30 minutes (90 minutes)
Passing Score: 70%
Prerequisite: SIE + Series 7
Corequisite: Series 10
Broker-dealer Sponsorship: required
exam outline
study course
Series 9
Modules: 7 chapters delivered in mobile-friendly, online and printable .pdf formats
Module Quizzes: 15 20-question, module quizzes to gauge initial comprehension
OnDemand Tutorials: 17 mobile-friendly, OnDemand tutorials available 24/7
Midterms: Two 25-question midterms
Mini Finals: Four 25-question mini-finals
Print-Based Finals: Two 40-question printable finals
Final Exams: Six 55-question, weighted finals that simulate the Series 9 exam
Green Light Status Indicator: Know with confidence your level of preparedness
Remediation:
Suggested Study Plan: System-generated study plan based on incorrect answers on initial assessments. Includes a custom suggested study plan assessment containing actual missed questions from final exams.
Custom Assessments: Create unlimited, 20 or 50-question, custom exams from any number of modules. Feature unlocks when final exams are completed.
Instructor Access: Unlimited email/phone access to our expert NRS Exam Prep instructors
