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.
Series 9 Exam Prep Training
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.
RETAIL PACKAGES STARTING AT
$160.00
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.
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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.
PACKAGE INFORMATION
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:
- Supervise the Opening and Maintenance of Customer Options Accounts (32%)
- Supervise Sales Practices and General Options Trading Activities (34%)
- Supervise Options Communications (10%)
- Supervise Associated Persons and Personnel Management Activities (24%)
See below for more detailed breakdown or visit FINRA.
Function 1: Supervise the Opening and Maintenance of Customer Options Accounts
- Reviewing new account documentation to determine if approval is appropriate
- Reviewing recommended customer options trading activities to determine if strategies meet applicable standards
- Reviewing margin accounts to confirm proper handling and timely adherence to margin requirements
Function 2: Supervise Sales Practices and General Options Trading Activities
- Identifying and reviewing customer complaints and take appropriate actions
- Overseeing the correction of options trade errors
- Reviewing daily trade activity for completeness of records or exceptions
- Monitoring the general operational process of options trades
Function 3: Supervise Options Communications
- Reviewing options retail communications and determining appropriate approval
- Reviewing incoming and outgoing options correspondence including approval where required
- Reviewing options institutional communication and determining appropriate approval
Function 4: Supervise Associated Persons and Personnel Management Activities
- Maintaining marketplace and associated product and regulatory knowledge
Additional SIE Study Materials
Looking to supplement a learning package that you are already working with? We’ve got you covered.
- Online ExamCenter
- Online Flashcards
View Packages and Pricing*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.