Series 9 Exam Details

Everything You Need to Know to Conquer the Series 9 Exam

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.

Series 9 Exam at a Glance

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1:30 hours
Time Limit
55
Multiple-choice questions
70%
Passing score required to pass

More About the Series 9 Exam

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.

Additional Information

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.

Series 9 Exam Essentials

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About the Exam

The FINRA^® Series 9 Exam

Required to hold the General Securities Sales Supervisor registration, along with the Series 10, SIE, and Series 7 exams
Covers corporate, municipal, and U.S. government securities
Includes options, direct participation programs, investment company products, and variable contracts

Go to FINRA

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Next Steps

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We’ve outlined the steps you need to take to earn the Series 9 license. Follow the guidance to understand requirements, registration, and preparation.

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Begin Preparing for the Series 9 Exam

Boost your exam readiness with Kaplan’s Series 9 study packages, featuring Premium, Essential, and Basic options. From live instruction to flexible self-study, we provide the study tools and additional materials you need to pass.