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Series 9: General Securities Sales Supervisor - Options
The Series 9 exam - the General Securities Sales Supervisor Qualification Examination -
evaluates a registered representative's proficiency and knowledge of securities industry rules and particular statutory provisions applicable to supervising sales activities of options at a branch office.
This exam comprises 55 scored questions with an additional five unscored "pretest" questions. Applicants have one-hour and 30-minutes to complete the exam. The passing score is 70%.
The Series 7 (or foreign equivalent) is a prerequisite for this examination. The Series 7 licensed representative must be associated with and sponsored by a FINRA member firm for eligibility to take the Series 9 exam. Along with the Series 10, the Series 9 exam is required to qualify for the Series 8 branch office manager (BOM) supervising principal license. Either exam may be taken first; the sequence does not matter.
Audience: The Series 9 exam - the General Securities Sales Supervisor Qualification Examination - is for professionals whose main job function is of a sales supervisor.
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- 7 Learning Modules
- 24 Interactive Online Quizzes
- 6 Sample Final Exams
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