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FINRA Series 9 Exam Prep & Study Materials
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Want to walk into your Series 9 Exam with confidence?
We’ve got you covered.

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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Pass Rate
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Up-to-date curriculum & premium content
Trusted by the biggest firms in the industry
Series 9: General Securities Sales Supervisor - Options Module Exam Training
Series 9 Exam Prep Course
$
400
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What’s Included
Our comprehensive course includes everything you
need to study:
2+ Hours of Video Lectures
Access to our Training Center
Textbook & Ebook (Kaplan)
Downloadable Supplements
iOS Mobile App to study offline
Online Question Bank (Kaplan)
Client Success Team Support
And everything you need to truly succeed:
Access to the online Training Center, your digital study hub full of proprietary KM study guides, videos, and more
Real-time email updates from instructors with last-minute tips and nudges exactly when you need them
Proactive ongoing check-ins from our expert team
Easy-to-follow action plan with clear-cut guidance and suggested next steps
Demo the training center

Take a test drive of our Training Center--the place for all your course materials, video lectures, and supplements. You can use the Action Plan to keep you focused, track your progress, and sign up for Live Training if offered. 

Our whole team is with you...

We put together a team of the most knowledgeable instructors, coaches, and staff for each course that will keep you on track and meeting your goals. They’re with you every step of the way.

Howard
Instructor
Bailey
Client Success Captain
Michael
Onboarding Specialist
James
Data Lead
CURRICULUM
Series 9 Course Curriculum
Lesson 1
Introduction
Lesson 2
Customer Accounts
Lesson 3
General Broker-Dealer Supervision
Lesson 4
Options Trading
Lesson 5
Options Strategies
Lesson 6
Wrap-Up
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Exam Details
About the Series 9 Exam
Exam Format
55 graded multiple-choice questions + 5 experimental, ungraded questions
Duration
1 hour and 30 minutes
Passing Score
70%
Prerequisite(s)/Corequisite(s)
Recommended Study Time
40 to 60 hours
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Series 9 FAQ
Can I take the exam even though I am not sponsored?

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.

How many questions should I complete on the Series 9 Practice Exams before I take the exam?

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.

What is the usual study time for the Series 9 exam?

Assuming you are working full time while preparing for the examination, you should allow yourself three to four weeks to read through the material and another two to four weeks to 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.

Should I expect to use the full time allotted on the Series 9 Exam?

Most students are able to finish the exam within the allotted time, without being rushed.

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