Series 9 Exam Prep Training

Series 9 securities prelicensing program

FINRA Series 9 Exam Prep

ExamFX has created a comprehensive online Series 9 training program to ensure candidates are prepared to pass their exam on the first attempt.

Best Value!  Series 9 + Series 10 Bundle Package >


Register Now Organization Discounts Available Contact your referring manager or recruiter for information on how to access your organization's portal.

Series 9 Training Package Information

We offer a flexible solution and package designed to help candidates pass their Series 9 exam. Our training provides a variety of helpful study tools that prepares candidates for success.


$199.95 - REGISTER NOW
90 Days Course Access
Interactive Learning Portal
Chapter Quizzes
Practice Exams
Readiness Exam
Instructor Support
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What is the Series 9/10 registration?

The Series 9 and 10 exam assesses the ability of an entry-level principal to perform their job as a securities sales supervisor. In order to obtain a Series 9/10 registration, you must pass the General Securities Sales Supervisor exams administered by FINRA (Financial Industry Regulatory Authority).

About the Series 9 Exam

What are the topics covered on the Series 9 Exam?

The Series 9 exam is designed to determine whether an individual meets the FINRA's qualification standards for a general securities sales supervisor. The exam consists of 55 scored questions and is broken down into the following sections:

See below for more detailed breakdown or visit FINRA.

Function 1: Supervise the Opening and Maintenance of Customer Options Accounts

Function 2: Supervise Sales Practices and General Options Trading Activities

Function 3: Supervise Options Communications

Function 4: Supervise Associated Persons and Personnel Management Activities

FINRA Series 9 Exam Details

The Series 9 exam consists of 55 multiple-choice questions. Candidates will be given 1 hour and 30 minutes to complete the exam and must achieve a 70% to pass. The cost of the exam is $80.

What is the ExamFX Readiness Exam?

ExamFX is so confident in our training program that we guarantee users who successfully complete the Readiness Exam will pass their licensing exam on their first attempt! If you do not pass your licensing exam within three days after scoring 80% or higher on the Readiness Exam, we will refund the cost of your course. It is that simple. Some restrictions may apply.