Finra Series 9 FAQ
Answers to the most common questions about the Series 9 exam.
How to get your Series 9
The Series 9 exam is a co-requisite with the Series 10 exam, meaning that you must pass both exams to get your General Securities Sales Supervisor registration. In addition to passing the Series 9 and Series 10 exams, you will also need to have previously passed the FINRA Securities Industry Essentials (SIE) exam, and the General Securities Representative Exam (Series 7) exam.
Series 9 and 10 candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to sit for the exam.
What's covered on the Series 9?
The Series 9 exam and Series 10 exams - known together as the General Securities Sales Supervisor Qualification Exams - cover the laws, regulations, ethics, strategies, and various topics important to the role of an entry-level principal performing the role of a general securities sales supervisor. The Series 9 is very focused on options, specifically options strategies; supervising options sales practices, trade activities, accounts, and communications; rules & regulations with a heavy emphasis on options; and personnel management. The Series 10 covers many of the same topics but in general, and not specifically focused on options.
Topic
Test questions
Supervise the Opening and Maintenance of Customer Options Accounts
18 (33%)
Supervise Sales Practices and General Options Trading Activities
19 (34%)
Supervise Options Communications
5 (9%)
Supervise Associated Persons and Personnel Management Activities
13 (24%)
What is the difference between the General Securities Sales Supervisor Exams (Series 9 and 10) and the General Securities Principal Exam (Series 24)?
Do I need to take the Series 9 or Series 10 in a particular order?
Do I have to take the Series 9 or Series 10 exams on the same day?
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