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Series 9 (or General Securities Sales Supervisor Qualification Examination Part 2) is a test administered by FINRA (Financial Industry Regulatory Authority) to safeguard the investing public by helping to ensure that General Securities Sales Supervisors are competent to perform their jobs. If you are preparing for this challenging test, Varsity Tutors can help you find a qualified Series 9 tutor who can help you prepare.
The Series 9 is a 90-minute exam consisting of 55 multiple-choice questions. The content breakdown is as follows: 18 questions on Supervising the Opening and Maintenance of Customer Options Accounts, 19 questions on Supervising Sales Practices and General Options Trading Activities, five questions on Supervising Options Communications, and 13 questions on Supervising Associated Persons and Personnel Management Activities. Candidates must also pass Part 1 of this exam (Series 10) in order to earn a certification. In addition, candidates must pass the Series 7 exam before sitting for Series 9.