Browse Exams — Mock Exams & Practice Tests

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.

On this page

Series 9 at a glance (FINRA)

  • Scored items: 55
  • Unscored pretest items: 5 (60 total)
  • Time: 1 hour 30 minutes (90 minutes)
  • Format: Multiple choice
  • Passing score: 70
  • Cost: $130
  • Corequisites: SIE + Series 7
  • Effective date: 09/1981 – present

Note: FINRA includes unscored pretest items for question development. You won’t know which items are unscored, so treat every item as scored.

What Series 9 tests (job functions)

Series 9 is organized by four major job functions:

  • F1 — Supervise the Opening and Maintenance of Customer Options Accounts — 32.7% (18 items)
  • F2 — Supervise Sales Practices and General Options Trading Activities — 34.5% (19 items)
  • F3 — Supervise Options Communications — 9.1% (5 items)
  • F4 — Supervise Associated Persons and Personnel Management Activities — 23.6% (13 items)

Series 9 vs Series 10 (important)

Series 9 is Part 2 of the Series 9/10 qualification and is options-focused. Series 10 is the general securities sales supervisor exam. If you need the full registration, plan to study and pass both parts.

✅ Next: work through the Series 9 syllabus » and then start timed drills in Practice ».

Syllabus