FINRA Series 9 Principal Level Exam Prep Training Course & Study Materials
Prepare for your FINRA Series 9 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
FINRA Series 9 Principal Level Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, or taking notes, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
| Features |
ONLINE COURSE PACKAGE
|
TEXTBOOK PACKAGE
|
|---|---|---|
Hard-Copy Textbook
|
 |
|
|
Personalized Study Plan
|
|
|
|
Best Practice Guide
|
|
|
|
Competency Exams
|
||
|
Practice Question Sets
|
|
|
|
Benchmark Final
|
|
|
|
Standard Final Exams
|
|
|
|
Custom Exam Generator
|
|
|
|
Phone Instructor Support
|
|
|
|
Glossary and Acronyms
|
|
|
|
TC Critical Facts
|
|
|
|
Real-Time Content Updates
|
|
|
|
Report Center
|
|
|
|
On-Demand Video Lectures
|
|
|
|
Checkpoint Exams
|
|
|
|
eBook
|
|
|
|
SpotCheck Quizzes
|
|
|
|
Online Instructor Support
|
|
|
|
Online Flashcards
|
|
|
|
Live Focused Webinars
|
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
.png)
Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
Learn More.png)
Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
.png)
55
Multiple-Choice Questions
1h 30m
Time to Complete
70%
Passing Score Required
.png)
$130
Exam Cost
What is the Series 9 Exam?
The Series 9 exam is Part 2 (Options) of the Series 9/10 exam, which assesses the ability of an entry-level principal to perform their job as a securities sales supervisor. In order to obtain a Series 9/10 registration, you must pass the General Securities Sales Supervisor exams administered by FINRA (Financial Industry Regulatory Authority).
VIEW FINRA SERIES 9/10 EXAM CONTENT OUTLINE
Although commonly referred to as the Series 9/10, these exams are structured as two separate tests. Candidates must sit for both exams on the same day or schedule them separately on different days. You must pass both exams within two years to register as a General Securities Sales Supervisor.
Candidates must be sponsored by a FINRA member firm and must first pass both the SIE and Series 7 exams to sit for the Series 9/10.
Learn more about the Series 10 Exam
Function 1: Supervise the Opening and Maintenance of Options Accounts
- Account Approval Process
- Review new account forms for completeness and accuracy
- Ensure proper documentation for options trading approval
- Verify customer financial profile and investment objectives
- Suitability and Risk Disclosure
- Confirm suitability for options trading based on risk tolerance and experience
- Ensure delivery of the Options Disclosure Document (ODD)
- Account Monitoring
- Oversee ongoing account activity for compliance
- Identify red flags such as excessive trading or mismatched strategies
Function 2: Supervise Sales Practices and General Options Trading Activities
- Sales Supervision
- Monitor recommendations made by registered representatives
- Ensure proper disclosures and suitability assessments
- Review communications and promotional materials related to options
- Trading Oversight
- Supervise execution of options trades
- Ensure compliance with order handling and reporting rules
- Monitor for prohibited practices such as front-running or manipulation
- Recordkeeping and Reporting
- Maintain required records of options transactions
- Ensure timely and accurate reporting to regulators
Function 3: Supervise Options Communications
- Review and Approval
- Approve retail and institutional communications related to options
- Ensure materials are fair, balanced, and not misleading
- Regulatory Compliance
- Adhere to FINRA and SEC rules for advertising and correspondence
- Monitor use of digital platforms and social media
- Recordkeeping
- Maintain records of communications and approvals
- Ensure proper disclosures are included in all materials
Function 4: Supervise Associated Persons and Personnel Management Activities
- Training and Supervision
- Ensure associated persons are properly trained and qualified
- Monitor ongoing education and compliance with firm policies
- Conduct Oversight
- Supervise day-to-day activities of registered representatives
- Address violations, complaints, and disciplinary actions
- Personnel Records and Reporting
- Maintain supervisory documentation and personnel files
- Ensure timely reporting of changes and disclosures to regulators
Explore More Securities Licensing Courses
Unlock your career. Earn your next securities license.
Series 10
Prepare for your FINRA Series 10 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
Learn More
Series 4
Prepare for your FINRA Series 4 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
Learn More
Series 24
Prepare for your FINRA Series 24 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
Learn More.png?t=1754063329999&width=40&name=Img%20(6).png){kind=small}