Series 9 Exam Details
The FINRA® Series 9, General Securities Sales Supervisor – Options Exam tests a candidate's knowledge of securities rules and regulations in preparing for supervising the sales activities in corporate, municipal and options securities, and more. Individuals must pass the Series 9 and the Series 10 exams to be qualified to supervise the purchase and sale of nonexempt securities.
55 multiple-choice questions
1 hour, 30 minutes
Outline of Topics Covered
- Options Regulation
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.
For more exam details, including fees and passing score, please visit FINRA.
Attention Colorado Students
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
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