The Series 9 Exam is required of individuals who supervise sales activities in corporate, municipal, and U.S. government securities, options, direct participation programs, Investment company products, and variable contracts. Registration as a general securities sales supervisor requires passing the Series 9 and Series 10 exams.
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You must be sponsored by a FINRA member firm in order to take the Series 9. Learn more about sponsorship and consider the SIE exam if you aren't sponsored.
You should plan on completing about 350 - 400 practice questions online prior to taking the exam. If your scores are not within passing range at that point, you may need to complete more questions. For best results, be sure to use unused questions when building your exams so that you continue to get exposure to new applications of the concepts.
Assuming you are working full-time while preparing for the examination, you should allow yourself 5-7 weeks or 40-60 hours to read through the material and complete practice exams. You should attend the live class, watch the online video lectures or receive private instruction while you are reading the material or immediately after reading the material.
Most students are able to finish the exam within the allotted time, without being rushed.
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