Series 9 (FINRA Series 9 — General Securities Sales Supervisor (Options)) — Free Online Mock Test
Series 9 · 55 Q in 90m. Options sales supervision — supervise options accounts, account approval, trading, and compliance. Pair with Series 10. Pass 70%. · Official language: English.
Series 9 exam at a glance
Series 9 full-length mock tests
Attempt 50 full-length Series 9 mock tests, each a distinct question set built on the real 55-question, 90-minute pattern — with instant scoring and section-wise analysis. The first 3 are free.
Series 9 key facts & eligibility
| Conducting body | Financial Industry Regulatory Authority (FINRA) |
|---|---|
| Official website | finra.org ↗ |
| Mode | The Options module of the General Securities Sales Supervisor qualification (Series 9). Passing both the Series 9 (Options) and Series 10 (General) modules qualifies you to supervise sales activities including options at a broker-dealer. It is a computer-based test at a Prometric centre. |
| Frequency | On demand, year-round once your firm opens a testing window. |
| Scoring & marking | The Series 9 has 55 scored questions in 90 minutes, and you need 70% to pass. It covers supervising the opening and maintenance of options accounts, options sales practices and trading, options communications, and the supervision of personnel. |
| Score validity | Valid while you remain registered; it lapses after a set period out of the industry unless maintained through continuing education. |
| Language | English. |
Who is eligible for Series 9?
You must be associated with and sponsored by a FINRA member firm. The General Securities Sales Supervisor registration also requires the SIE and Series 7 as co-requisites.
Last verified July 2026 against FINRA — Series 9 and 10. Always confirm current details on the official website before you register.
Series 9 section breakdown
The Series 9 mock test on Wrexa Edge replicates the real exam's section structure — same names, same question count per section, same time limits. No inter-section breaks — the timer runs continuously.
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Series 9 (55 Q)
Series 9 scoring & marking scheme
Strategy: Series 9 has no negative marking. Attempt every question — blank answers cost you potential marks but cannot pull your score down.
Scale: Series 9 (pass 700/1000).
How Series 9 is conducted
- Mode
- Test format
- Backtracking
- Mark for review
Series 9 time strategy
With 55 questions in 90 minutes, you have about 98 seconds per question on average. Successful candidates aim for the following pacing on each section:
- Series 9 (55 Q)
Wrexa Edge's analytics show your actual time-per-question after every mock so you can spot which sections you're losing time on.
Series 9 topics covered
Across the 50 Wrexa Edge variants of Series 9, the following topics appear most often (sample distribution from one variant):
Series 9 (55 Q)
- FINRA — Supervision · 5
- Series 79 — Rule 144 · 2
- Series 79 — Underwriting · 2
- Series 6 — Mutual Funds · 1
- Series 63 — USA · 1
- Series 63 — Definition · 1
- Series 63 — Howey Test · 1
- Series 63 — Agent · 1
Series 9 difficulty calibration
Advanced tier. Advanced-level: high-stakes exam with rigorous content depth. Expect 4-8 months of structured prep.
Series 9 · 55 Q in 90m. Options sales supervision — supervise options accounts, account approval, trading, and compliance. Pair with Series 10. Pass 70%. · Official language: English.
Verified content — Wrexa Edge's Series 9 bank has been deeply curated with real exam-aligned content (estimated 100% syllabus coverage).
How Wrexa Edge prepares you for Series 9
- Real test-day interface
- 50 distinct variants
- Detailed analytics
- Spaced repetition (Notebook)
- Optional proctoring
- Free to start
Expert take: what Series 9 really tests
The Series 9 is the Options module of the General Securities Sales Supervisor qualification — 55 scored questions in 90 minutes, needing 70% to pass. It focuses on supervising options accounts, options trading and sales practices, and options communications. You take it with the Series 10, and the SIE and Series 7 are co-requisites.
Preparation tips
- Focus on options-account approval, suitability and trading supervision.
- Learn the options communications and personnel-supervision rules.
- Prepare the Series 9 and Series 10 together — both are required.
Common mistakes to avoid
- Treating Series 9 as standalone — the supervisor role needs Series 10 too.
- Underestimating the options-specific supervisory rules.
Series 9 study plan
A phase-by-phase roadmap from your first concept to test-ready. Stretch or compress each phase to fit the time you have before your attempt.
- Opening and maintaining options accounts
- Options suitability and approval
- Question-bank practice
- Supervising options trading and sales practices
- Options communications rules
- Personnel supervision
- Full-length Series 9 practice exams
- Target 70%+ consistently
- Pair with Series 10 preparation
Where Series 9 can take you
A strong Series 9 result opens up these careers and higher-study paths:
- Sales supervisor (options)
- Branch supervision
- Paired with Series 10
- Co-requisite exams
Best books & official prep for Series 9
- Series 9 exam-prep (STC, Kaplan, Knopman) — Various
- FINRA Series 9/10 content outline — FINRA
Official practice: Study the FINRA Series 9/10 content outline; the Series 9 concentrates on options-account, options-trading and options-communications supervision.
Previous-year papers: No past papers are released; use the content outline plus a prep provider’s question bank.
Frequently asked questions
- What is the Series 9 exam pattern?
- FINRA Series 9 — General Securities Sales Supervisor (Options) contains 55 questions across 1 section: Series 9 (55 Q). Total duration is 90 minutes (about 98 seconds per question).
- Does Series 9 have negative marking?
- No — Series 9 has no negative marking. Each correct answer is worth 1 mark, so attempt every question.
- How is Series 9 scored?
- Scaled score range: 100 to 1000. Series 9 (pass 700/1000).
- How can I practise Series 9 online for free?
- Wrexa Edge gives you 3 free full-length Series 9 mock tests — with instant scoring, detailed explanations and analytics — plus 47 more with Pro. Start practising in under a minute, no card required.
- What is the difficulty level of Series 9?
- Series 9 is rated Advanced difficulty on Wrexa Edge. Advanced-level: high-stakes exam with rigorous content depth. Expect 4-8 months of structured prep. Series 9 · 55 Q in 90m. Options sales supervision — supervise options accounts, account approval, trading, and compliance. Pair with Series 10. Pass 70%. · Official language: English.
- How long is the Series 9 exam?
- Series 9 runs for 90 minutes total. On Wrexa Edge the timer is enforced exactly as on the real exam — including no inter-section breaks.
- What topics are covered in Series 9?
- Series 9 is split into: Series 9 (55 Q). Each section is timed and weighted separately. Series 9 · 55 Q in 90m. Options sales supervision — supervise options accounts, account approval, trading, and compliance. Pair with Series 10. Pass 70%. · Official language: English.
- What tools or aids are allowed during Series 9?
- No special tools are required. Note: real exam is proctored — Wrexa Edge mirrors this with a webcam-based proctoring flow you can enable.
- Is the Series 9 test adaptive?
- No — Series 9 is a fixed-form (linear) test. Every candidate sees the same number of questions per section.
- How many Series 9 mock tests does Wrexa Edge offer?
- Wrexa Edge generates 50 distinct Series 9 variants — each with different question content, not just shuffled options — the first 3 free for everyone and 47 more with Pro. That's 2750 unique practice questions in the real test-day interface.
- Is there a free Series 9 test series 2026?
- Yes. The Wrexa Edge Series 9 test series for 2026 gives you 3 free full-length mock tests (50 in total) plus subject-wise and topic-wise tests — instant scoring and detailed analysis, no card required.
- Are Series 9 previous year question–style papers included?
- Every Series 9 mock is modelled on the official exam pattern and the style of previous years' papers — the same 55-question structure, sections and marking — so your practice mirrors the real paper you'll sit.
- Which is the best free Series 9 mock test online?
- Wrexa Edge's Series 9 mock test replicates the real exam interface, timing and marking scheme, with instant score, section-wise analysis and 50 fresh variants — a strong free choice for 2026 preparation.
- Can I take the Series 9 mock test on mobile?
- Yes. Series 9 mock tests run in any browser on mobile, tablet or desktop — no app or download needed. Start on your phone and your progress and analytics sync when you sign in.
- What is the Series 9 syllabus?
- The Series 9 syllabus maps to its 1 section: Series 9 (55 Q). Wrexa Edge's mock tests cover the complete syllabus topic by topic — see the topics-covered breakdown above — so you practise every area at real exam difficulty.
- What is the eligibility for Series 9?
- You must be associated with and sponsored by a FINRA member firm. The General Securities Sales Supervisor registration also requires the SIE and Series 7 as co-requisites. Wrexa Edge focuses on realistic Series 9 practice: 3 free full-length mocks in the exact exam pattern, ready whenever you are.
- When is the Series 9 exam and how should I prepare?
- Official Series 9 exam dates are announced by the conducting body for each cycle — check the latest notification for the current schedule. To be ready, follow a phased study plan and take full-length timed mocks; Wrexa Edge gives you 3 free Series 9 mocks with instant scoring so you can track your readiness week by week.
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