Series 9 Question Bank

Series 9 Question Bank (Online)

Prep for the FINRA Series 9 - General Securities Sales Supervisor (Options) Qualification Exam with 790 exam-style practice questions across 16 chapters, 3 mini exams, 2 full-length practice exams, and a dedicated math test. Self-paced online practice focused on options account supervision, sales-practice rules, margin and position limits, options communications, and personnel management.

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Instant digital access • Mobile + desktop friendly • Progress tracking • Built for exam-style testing

What you get with the Series 9 Question Bank

  • 790 exam-style practice questions across the full Series 9 outline
  • 16 chapters mapped to FINRA's four Series 9 functions - options account supervision, sales-practice supervision, options communications, and personnel management
  • 48 chapter quizzes - Learn (10 Qs), Apply (10 Qs), and Master (10 Qs) for every chapter
  • 3 Mini Exams (50 questions each) for timed practice
  • 2 full-length Practice Exams (55 questions each) matching real exam length and structure
  • A dedicated Math & Calculations Test (50 questions) covering margin, options P/L, and tax calculations
  • Heavy coverage of options supervision, position/exercise limits, and sales-practice rules - the supervisory core of the exam
  • Progress tracking by chapter and difficulty to target weak areas fast
  • Clear explanations focused on what FINRA actually tests
  • Built specifically for options supervisors - not repurposed retail or representative content
  • 6-month online access from purchase date

What you'll study

Organized around FINRA's four Series 9 functions - sales-practice supervision is the largest section at 35%, followed by options account supervision at 33%, personnel management at 24%, and options communications at 9%. The 16 chapters in the question bank map directly to these four areas.

Function 1 - 33% (18 questions)

Supervise the Opening and Maintenance of Customer Options Accounts

  • Customer account opening - new account information, registration types, and joint accounts
  • Options account approval - registered options principal (ROP) review and documentation
  • Options Disclosure Document (ODD) delivery and timing requirements
  • Suitability and Regulation Best Interest (Reg BI) for options recommendations
  • AML and Customer Identification Program (CIP) requirements
  • Discretionary account supervision and prior written authorization
  • Account maintenance - updating customer information and re-approving option levels
  • Margin account documentation and option-level approval criteria

Function 2 - 35% (19 questions)

Supervise Sales Practices and General Options Trading Activities

  • Margin supervision - Reg T, FINRA maintenance, and options margin requirements
  • Position limits and exercise limits - aggregation rules and reporting
  • Daily trade review - order tickets, allocations, and time-and-price discretion
  • Prohibited activities - manipulation, front-running, marking the close, and excessive trading
  • OCC operations, assignment, and exercise procedures
  • Order types and options strategies - long/short calls and puts, spreads, straddles, P/L mechanics
  • Tax treatment of options - holding periods, wash sales, and constructive sales
  • Best execution, payment for order flow, and trade reporting (LOPR/ORF)

Function 3 - 9% (5 questions)

Options Communications

  • FINRA Rule 2210 communications categories - retail, institutional, and correspondence
  • Options-specific communications standards and required disclosures
  • Principal pre-use approval and filing requirements with FINRA
  • Standardized options performance claims, projections, and recordkeeping
  • Social media, public appearances, and educational materials

Function 4 - 24% (13 questions)

Supervise Associated Persons and Personnel Management Activities

  • Registration, qualification, and continuing education for associated persons
  • Personnel management - hiring, termination, U4/U5 filings, and Form U4 disclosures
  • Outside business activities and private securities transactions (OBA/PST)
  • Customer complaint handling, escalation, and documentation
  • FINRA Rule 4530 reporting obligations and disclosure events
  • Branch office and supervisory system requirements (Rule 3110)
  • Annual compliance meetings, internal inspections, and audit trails

What students say

The options account supervision and ROP approval coverage was exactly what I needed - actual supervisor scenarios, not basic options definitions I already knew from the Series 7.

— Derek M.

The math test was the difference-maker for me. Margin, options P/L, and tax calculations were all drilled enough that I walked into the exam with my numbers cold.

— Priya N.

Branch manager moving into options supervision - passed Series 9 and Series 10 back to back. The 55-question practice exams at full length really helped lock in the 90-minute pacing.

— Kevin O.

Position limits, LOPR reporting, and Rule 2210 options communications were all covered in real depth. The Learn / Apply / Master progression worked great for the supervisory rule sets.

— Janelle T.

GET INSTANT ACCESS

Series 9 Question Bank

$94.99

  • Includes: 790-question bank + 3 mini exams + 2 full-length practice exams + a dedicated math test + chapter quizzes
  • Access: 6 month access to the question bank
  • Start practicing immediately after purchase - no waiting.
Get Instant AccessSee what's included

Frequently asked questions

  • You'll have access for 6 months starting immediately after purchase.

About the Series 9 - General Securities Sales Supervisor (Options) Qualification Exam

Exam format (official):

  • 55 scored questions (plus 5 unscored pretest questions, 60 total)
  • 1 hour 30 minutes (90 minutes)
  • Passing score: 70% (39 of 55)
  • Prerequisites: SIE and Series 7
  • Pairs with the Series 10 to complete the General Securities Sales Supervisor registration (both must be passed within two years of each other)
  • Administered by FINRA

Core functions (official weighting):

  • Function 1 - Supervise the Opening and Maintenance of Customer Options Accounts - 33% (18 questions)
  • Function 2 - Supervise Sales Practices and General Options Trading Activities - 35% (19 questions)
  • Function 3 - Options Communications - 9% (5 questions)
  • Function 4 - Supervise Associated Persons and Personnel Management Activities - 24% (13 questions)

For the official exam outline, scheduling details, and registration through FINRA, see the FINRA Series 9 exam page.

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