Series 9


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.

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Series 9 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

Series 9 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

No Pass/No Pay

Candidates who correctly complete our program and achieve our designated “Green Light” average score on their practice final exams go on to pass their actual FINRA/NASAA exams. We are so confident that we offer candidates a “NO-PASS, NO-PAY” guarantee. We will refund full tuition to any “Green Light” student who does not pass their actual FINRA/NASAA exam.*

*The NRS Exclusive NO-PASS, NO-PAY Guarantee: To qualify for a refund, you must complete all course materials: Read all modules, attend all tutorials, take all quizzes and tests, and achieve an average score on your first attempt final exams of 3% over the passing score requirement for your FINRA/NASSA exam. Refund applies to online course fees only.

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

  • Passport
  • Driver’s License
  • Military ID

Student IDs are NOT accepted by Prometric.