Series 9 Exam — Mock Exams & Practice Tests

The Series 9 (General Securities Sales Supervisor Qualification Exam) is Part 2 of the Series 9/10 qualification. It focuses on supervising options accounts, options sales practices and trading activities, and options communications.

Key points:

• Sponsorship required: you must be associated with a FINRA member firm (or other applicable SRO member firm) to sit for Series 9.
• Corequisites: SIE + Series 7 (high level; confirm your firm’s required qualification path).
• Series 9/10 registration: to qualify for the General Securities Sales Supervisor registration, you generally must pass Series 9 + Series 10 within the required window (FINRA guidance is the source of truth).

Use this hub as your study flow:

• Overview: exam format, timing, score, and what’s tested
• Syllabus: blueprint → functions → learning objectives (practice links included)
• Cheatsheet: options supervision mindset, workflows, and high-yield traps
• Practice: timed mocks + targeted drills
• FAQ: prerequisites, Series 10 relationship, and logistics
• Resources: official FINRA links and the content outline PDF
• Updates: content changes and syllabus mapping updates

In this section

• Series 9 Cheatsheet — Options Accounts, Trading Activities & Supervision
  High-yield FINRA Series 9 reference: options account approvals, suitability/Reg BI mindset for strategies, margin and limits supervision, exercise/assignment operations, trade error handling, and options communications standards.
• Series 9 Exam Overview — Format, Weights & Eligibility
  Understand FINRA Series 9 (General Securities Sales Supervisor, options-focused) at a glance: structure, timing, passing score, function weights, eligibility, and prerequisites.
• Series 9 FAQ — Common Questions & Quick Answers
  Answers to common questions about the FINRA Series 9 exam: eligibility and sponsorship, SIE/Series 7 corequisites, relationship to Series 10, exam format/timing, and how to study.
• Series 9 Practice — Mock Exams & Topic Drills
  Launch Series 9 practice: timed mocks and targeted drills mapped to FINRA’s Series 9 job functions with detailed explanations.
• Series 9 Resources — Official FINRA Links & Content Outline
  Official resources for the FINRA Series 9 (General Securities Sales Supervisor, Part 2 of Series 9/10) exam: exam page, content outline PDF, and key rule references.
• Series 9 Syllabus — Blueprint & Learning Objectives
  FINRA Series 9 syllabus mapped to the official job functions with clear learning objectives and quick links to targeted practice.
• Series 9 Updates — Blueprint & Content Changes
  Track changes to the Series 9 study hub: syllabus mapping, cheat sheet refinements, practice coverage, resources, and copy updates.