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Series 9 - General Securities Sales Supervisor – Options

The Series 9 Exam is a principal-level FINRA exam that qualifies individuals to supervise sales activity in options. The Series 9 Exam is typically taken with the Series 10 Exam by individuals responsible for general securities sales supervision, including the approval of customer accounts, training of sales and sales supervisory personnel, and the maintenance of records.

Exam

Exam Details

Exam Format: 55 multiple-choice questions

Exam Duration: 1 hour and 30 minutes (90 minutes)

Passing Score: 70%

Prerequisite: SIE + Series 7

Corequisite: Series 10

Broker-dealer Sponsorship: required

Exam Outline

FUNCTION DESCRIPTION Percentage of Exam No. Questions
Function 1: Supervise the Opening and Maintenance of Customer Options Accounts 33% 18
Function 2: Supervise Sales Practices and General Options Trading Activities 35% 19
Function 3: Supervise Options Communications 9% 5
Function 4: Supervise Associated Persons and Personnel Management Activities 23% 13
TOTAL 100% 55

Test Center

Prometric is the sole vendor delivering all FINRA-administered exams. Prometric facilities are located in most cities. To schedule an exam, contact Prometric at:

If your local test center does not have favorable availability, consider testing in a neighboring city. Ask about parking when you schedule your exam. Candidates must present valid, current, government-issued photo identification. This includes:

Student IDs are NOT accepted by Prometric.

COVID-19 Considerations: Due to COVID-19 health concerns, all Prometric test centers require face coverings, and that all testers are free from COVID infection and/or exposure during the previous 14 days. See https://www.prometric.com/covid-19-update/test-center-policies for the latest COVID updates.

In addition, many exams allow Remote Proctoring - see https://www.prometric.com/test-takers/search/1finra for more info.

Exam

Exam Details

Exam Format: 55 multiple-choice questions

Exam Duration: 1 hour and 30 minutes (90 minutes)

Passing Score: 70%

Prerequisite: SIE + Series 7

Corequisite: Series 10

Broker-dealer Sponsorship: required

Exam Outline

FUNCTION DESCRIPTION Percentage of Exam No. Questions
Function 1: Supervise the Opening and Maintenance of Customer Options Accounts 33% 18
Function 2: Supervise Sales Practices and General Options Trading Activities 35% 19
Function 3: Supervise Options Communications 9% 5
Function 4: Supervise Associated Persons and Personnel Management Activities 23% 13
TOTAL 100% 55

Test Center

Prometric is the sole vendor delivering all FINRA-administered exams. Prometric facilities are located in most cities. To schedule an exam, contact Prometric at:

If your local test center does not have favorable availability, consider testing in a neighboring city. Ask about parking when you schedule your exam. Candidates must present valid, current, government-issued photo identification. This includes:

Student IDs are NOT accepted by Prometric.

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