Not Finding What You're Looking For?
Time Limit
Multiple-choice questions
Passing score required to pass
Options Regulation
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
For more exam details, including fees and passing score, please visit FINRA.
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
About the Exam
The FINRA® Series 9 Exam
Next Steps
Get Started
We’ve outlined the steps you need to take to earn the Series 9 license. Follow the guidance to understand requirements, registration, and preparation.
Time Limit
Multiple-choice questions
Passing score required to pass
Prerequisites
Hiring, Qualifications, and Continuing Education
Supervision of Accounts and Sales Activities
Conduct of Associated Persons'
Recordkeeping Requirements
Municipal Securities Regulation
For more exam details, including fees and passing score, please visit FINRA.
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
About the Exam
The FINRA® Series 10 Exam
Career Information
Best Practices Guide
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
