FINRA’s Series 9 is the options module of the two-part General Securities Sales Supervisor qualification. It requires association with and sponsorship by an applicable member firm. Series 9 currently delivers 55 scored questions and 5 unidentified unscored pretest questions, for 60 delivered items, allows 90 minutes, costs $175, and requires a 70% passing score. Both Series 9 and Series 10 are required for the SU registration, together with valid SIE and Series 7. Passing Series 9 alone does not create registration or supervisory authority.
Exam overview
- Exam summary
- FINRA Series 9 — General Securities Sales Supervisor, Options Module
- Exam-specific prerequisites
- Yes
- Prerequisite explanation
- Association with and sponsorship by an applicable member firm; both Series 9 and Series 10 plus valid SIE and Series 7 are required for SU registration.
Exam structure
- Number of questions
- 55 scored plus 5 unidentified unscored pretest questions; 60 delivered items
- Exam duration
- 90 minutes
- Passing threshold / published scoring model
- 70%
- Exam format
- FINRA principal qualification exam part — options module
- Testing method
- FINRA-authorized test delivery
Cost & attempts
- Exam fee
- $175 Series 9 examination fee; separate from the Series 10 fee and not a registration fee
Source governance
- Official candidate handbook / exam outline
- https://www.finra.org/sites/default/files/Series_9-10_Outline-030716.pdf
- Primary authoritative source
- https://www.finra.org/registration-exams-ce/qualification-exams/series9-10
- Last verified date
- 2026-08-30
- Verification status
- Verified
- Review / recheck date
- 2026-09-30
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