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Series 9 Exam Prep Study Materials

Kaplan Financial Education's securities licensing exam prep packages provide all the necessary tools to help you prepare, practice, and perform on the FINRA® Series 9 Exam, General Securities Sales Supervisor - Options Exam. We offer a variety of instruction options and exam prep study tools to best suit your learning style and schedule.

Are you preparing for both your Series 9 and Series 10? Choose a combo option and save.

Series 9 & 10 Packages

Are you just preparing for the Series 9 Exam?

Choose one of Kaplan Financial Education's industry leading study packages below or compare your options.

Premium Instruction Package

Our most comprehensive study package, the Premium Instruction Package, has everything you need to effectively prepare for your qualification exam, including guidance from an experienced instructor. Start your exam preparation by building a customizable Study Calendar to schedule daily tasks based on your study time frame and exam date. Begin preparing for your exam by reading the License Exam Manual to ensure a clear understanding of the key exam topics. Practice in areas of weakness by taking custom quizzes in the SecuritiesPro QBank. Then, test your performance with our realistic Practice and Mastery Exams to measure your readiness for the actual securities exam. After you have reviewed your study materials, our instructor-led class ensures you fully understand key concepts prior to exam day.

The Premium Instruction Package Includes:

Online

As you prepare for exam day, the Exam Tips and Content Updates will be your source for changes in regulations and rules. Our team of content experts will keep you up-to-date on the most current changes and study strategies related to your qualification exam.

Online

The Practice Exam is designed to closely replicate the true exam experience in terms of the degree of difficulty, timing, format, and topical coverage. This exam can be taken only once and provides unique practice questions that you haven’t seen at this point in your studies. The Practice Exam is a sound indicator of how you will perform on your actual qualification exam. It allows you to see areas of strength and weakness on your Performance Tracker without answers and rationales for every question. 

Online and Download

Practice your test-taking skills, drill into specific topics, and test your knowledge with exam-focused questions. This interactive QBank is updated on a regular basis and allows you to build personalized exams based on length and topic of your choice. It features unlimited exam attempts that are randomly generated. The QBank also gives you the ability to:

  • Practice your exam-taking technique while learning more about key topics.
  • Complete the exams online or download and print them out.
  • Review your performance on previously taken exams.
  • Track time spent on a question and/or exam.
  • Find in-depth rationales for each question and locate where you can learn more.
  • Build simulated exams to provide a comprehensive test review of all material.

Online

Keep tabs on how well you are progressing on your exam prep. This handy reporting tool helps you understand what areas you’re doing well in and what areas need some work before exam day.

Print and PDF

Give structure to your class with these spiral-bound books that complement your instructor’s lessons. They highlight important exam topics and include the key points addressed in your classes. These notes, grouped by lesson, allow you to focus on the instructor and give you an organized review after class has ended.

Online

The Checkpoint Exams, located at the end of each unit in your License Exam Manual, are designed to gauge your comprehension of the material. These exams can be taken only once and feature unique questions, as well as answers and detailed rationales.

Online

Prepare for your qualification exam by utilizing our customizable Study Calendar, which coordinates your daily tasks with your study schedule and test date. This interactive calendar helps you plan for specific days off and calculates the average amount of time you will be studying each day. Based on proven learning science and over 25 years of training experience, this essential study tool takes the guesswork out of your study plan and puts you on the track to success.

Online

The Mastery Exam is similar to the Practice Exam and provides an additional simulated exam with unique questions.

InstructorLink™

Connect with a Kaplan instructor for personal assistance anytime as you prepare for the exam. With this online resource, you can communicate directly with securities content experts and get your questions answered within two business days.

Online

You can prepare for your qualification exam with this series of short, exam-focused streaming videos designed to provide reinforcement of the core exam topics discussed in the License Exam Manual. The videos are an excellent source of review after you have completed your reading and practice questions and help identify areas in which you may need further clarification. The instructor-led reviews are grouped into categories by major topics.

Print and PDF

This comprehensive textbook is the foundation of your qualification exam preparation. The text contains everything you need to know for the exam, broken down into easily digestible units. Kaplan’s team of experts builds the content with a focus on the most recent rules and regulations. Units contain key topics and terms, multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your exam.

Online

The Midterm Exam is a cumulative exam designed to test your comprehensive knowledge at the midpoint of your exam preparation. This exam can be taken only once and provides answers and detailed rationales for each question. This exam simulates the actual exam and features questions you haven’t seen in your studies thus far.

Choose your Premium Instruction Package:

Each package has a different class option.

Please note: The online access period for your securities licensing course is 5 months. Additional 5 month extension may be purchased to extend your study time for $49. The extension can be ordered from the Extension icon on your Student Dashboard.

*Midterm Exam is only included in select Series Exam Preparation Packages.

Essential Self-Study Package

The Essential Self-Study Package gives you the flexibility of studying on your schedule. Planning your exam preparation is made simple with our customizable Study Calendar that schedules daily tasks based on your study time frame and exam date. Begin preparing for your exam with the comprehensive License Exam Manual. Practice your test-taking skills and focus on areas of weakness with quizzes in the SecuritiesPro QBank. Use the Video Library for additional clarification on exam topics you may be having trouble understanding. Finally, test your performance with our Practice Exam for a final review before the actual qualification exam.

 

The Essential Self-Study Package Includes:

Online

As you prepare for exam day, the Exam Tips and Content Updates will be your source for changes in regulations and rules. Our team of content experts will keep you up-to-date on the most current changes and study strategies related to your qualification exam.

Online

The Practice Exam is designed to closely replicate the true exam experience in terms of the degree of difficulty, timing, format, and topical coverage. This exam can be taken only once and provides unique practice questions that you haven’t seen at this point in your studies. The Practice Exam is a sound indicator of how you will perform on your actual qualification exam. It allows you to see areas of strength and weakness on your Performance Tracker without answers and rationales for every question. 

Online and Download

Practice your test-taking skills, drill into specific topics, and test your knowledge with exam-focused questions. This interactive QBank is updated on a regular basis and allows you to build personalized exams based on length and topic of your choice. It features unlimited exam attempts that are randomly generated. The QBank also gives you the ability to:

  • Practice your exam-taking technique while learning more about key topics.
  • Complete the exams online or download and print them out.
  • Review your performance on previously taken exams.
  • Track time spent on a question and/or exam.
  • Find in-depth rationales for each question and locate where you can learn more.
  • Build simulated exams to provide a comprehensive test review of all material.

Online

Keep tabs on how well you are progressing on your exam prep. This handy reporting tool helps you understand what areas you’re doing well in and what areas need some work before exam day.

Online

The Checkpoint Exams, located at the end of each unit in your License Exam Manual, are designed to gauge your comprehension of the material. These exams can be taken only once and feature unique questions, as well as answers and detailed rationales.

Online

Prepare for your qualification exam by utilizing our customizable Study Calendar, which coordinates your daily tasks with your study schedule and test date. This interactive calendar helps you plan for specific days off and calculates the average amount of time you will be studying each day. Based on proven learning science and over 25 years of training experience, this essential study tool takes the guesswork out of your study plan and puts you on the track to success.

Online

You can prepare for your qualification exam with this series of short, exam-focused streaming videos designed to provide reinforcement of the core exam topics discussed in the License Exam Manual. The videos are an excellent source of review after you have completed your reading and practice questions and help identify areas in which you may need further clarification. The instructor-led reviews are grouped into categories by major topics.

Print and PDF

This comprehensive textbook is the foundation of your qualification exam preparation. The text contains everything you need to know for the exam, broken down into easily digestible units. Kaplan’s team of experts builds the content with a focus on the most recent rules and regulations. Units contain key topics and terms, multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your exam.

Online

The Midterm Exam is a cumulative exam designed to test your comprehensive knowledge at the midpoint of your exam preparation. This exam can be taken only once and provides answers and detailed rationales for each question. This exam simulates the actual exam and features questions you haven’t seen in your studies thus far.

Choose your Essential Self-Study Package:

Please note: The online access period for your securities licensing course is 5 months. Additional 5 month extension may be purchased to extend your study time for $49. The extension can be ordered from the Extension icon on your Student Dashboard.

*Midterm Exam is only included in select Series Exam Preparation Packages.

Basic Self-Study Package

The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation by building a customizable Study Calendar based on your study time frame and exam date. Begin preparing for your exam with the License Exam Manual for a comprehensive overview of the exam. Practice in areas of weakness by taking custom quizzes after each unit with the SecuritiesPro QBank. Finally, test your performance with our Practice Exam for a final review before your actual qualification exam.

 

The Basic Self-Study Package Includes:

Online

As you prepare for exam day, the Exam Tips and Content Updates will be your source for changes in regulations and rules. Our team of content experts will keep you up-to-date on the most current changes and study strategies related to your qualification exam.

Online

The Practice Exam is designed to closely replicate the true exam experience in terms of the degree of difficulty, timing, format, and topical coverage. This exam can be taken only once and provides unique practice questions that you haven’t seen at this point in your studies. The Practice Exam is a sound indicator of how you will perform on your actual qualification exam. It allows you to see areas of strength and weakness on your Performance Tracker without answers and rationales for every question. 

Online and Download

Practice your test-taking skills, drill into specific topics, and test your knowledge with exam-focused questions. This interactive QBank is updated on a regular basis and allows you to build personalized exams based on length and topic of your choice. It features unlimited exam attempts that are randomly generated. The QBank also gives you the ability to:

  • Practice your exam-taking technique while learning more about key topics.
  • Complete the exams online or download and print them out.
  • Review your performance on previously taken exams.
  • Track time spent on a question and/or exam.
  • Find in-depth rationales for each question and locate where you can learn more.
  • Build simulated exams to provide a comprehensive test review of all material.

Online

Keep tabs on how well you are progressing on your exam prep. This handy reporting tool helps you understand what areas you’re doing well in and what areas need some work before exam day.

Online

Prepare for your qualification exam by utilizing our customizable Study Calendar, which coordinates your daily tasks with your study schedule and test date. This interactive calendar helps you plan for specific days off and calculates the average amount of time you will be studying each day. Based on proven learning science and over 25 years of training experience, this essential study tool takes the guesswork out of your study plan and puts you on the track to success.

Print and PDF

This comprehensive textbook is the foundation of your qualification exam preparation. The text contains everything you need to know for the exam, broken down into easily digestible units. Kaplan’s team of experts builds the content with a focus on the most recent rules and regulations. Units contain key topics and terms, multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your exam.

Choose your Basic Self-Study Package:

Please note: The online access period for your securities licensing course is 5 months. Additional 5 month extension may be purchased to extend your study time for $49. The extension can be ordered from the Extension icon on your Student Dashboard.

Series 9 Exam Details

Prerequisites: Series 7

Exam Format: 55 multiple-choice questions

Read more exam details about the Series 9 exam, including exam restructuring, general information, and best practices.

Series 9 Study Tools

License Exam Manual, QBank, & More

Starting at $10

Looking for an individual study tool to complement your study package? Browse options to help you pass your Series 9 exam.