Browse Exams — Mock Exams & Practice Tests

Series 9 Mock Exams & Practice Exam Questions | FINRA General Securities Sales Supervisor (Options)

Series 9 mock exams and practice exam questions for FINRA General Securities Sales Supervisor (Options). Timed practice sets and detailed explanations in the FINRA Exam Prep app (web, iOS, Android).

On this page

Train Series 9 like a supervisor job-sim: approve the right options level, enforce limits and controls, and document the decision.

Start practicing (web app)

Interactive Practice Center

Start a practice session for Series 9 below, or open the full app in a new tab. For the best experience, open the full app in a new tab and navigate with swipes/gestures or the mouse wheel—just like on your phone or tablet.

Open Full App in a New Tab

A small set of questions is available for free preview. Subscribers can unlock full access by signing in with the same account used on mobile.

Prefer to practice on your phone or tablet? Download the Securities Prep app:

Securities Prep iOS app QR code (United States)
Scan for iOS (United States)
Securities Prep Android app QR code (United States)
Scan for Android (United States)

If you already subscribe in the mobile app, sign in with the same account on web to continue on desktop.

Practice modes

Full-length mock exam (timed)
Build speed and accuracy on options supervision decisions.

Job-function drills (F1–F4)
Fix weak areas fast by drilling one function at a time.

Miss review
Rework misses until you can explain which control or disclosure the wrong answers violate.

Timing tip

Real exam pacing is about 60 total items in 90 minutes (~90 seconds per item). Practice timed sets early so “supervisor thinking under pressure” becomes normal.

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 » .