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Series 9 License

Earn Your Series 9 License

Searching for Series 9 training and help passing your Series 9 exam? Then you've come to the right place!Series License

What Is A Series 9 License?

The Series 9/10 is a combined exam that is called the General Securities Sales Supervisor Qualification Exam.

The General Securities Sales Supervisor Qualification Examination (Series 9/10) is intended to test a candidate's knowledge of securities industry rules and certain statutory provisions applicable to the supervision of sales activities at a general securities-oriented branch office.

The Series 9 is considered the Options Group and is based on the rules of option exchanges. The Series 10 is considered the General Group and is based upon questions by the Financial Industry Regulatory Agency (FINRA), Municipal Securities Rulemaking Board (MSRB), and Securities & Exchange Commission (SEC) regulations.

What Is The Series 9/10 License?

The purpose of the Series 9/10 is to gauge a person's knowledge of sales activities in a branch office. Typically, a licensed sales manager or branch office manager will take the Series 9/10 because he or she is responsible for the activities of a securities-oriented branch office.

The license qualifies an individual to supervise sales activities of a broker-dealer, it does not allow the sales supervisor/branch manager to supervise other areas of a member's securities business, such as underwriting, trading, or overall firm compliance with financial responsibilities. For that you will need a Series 24 license.

Are There Prerequisites To Take The Series 9/10 Exam?

Yes. Before taking the Series 9/10 Exam, a candidate must have a Series 7 license.

What Is On The Series 9/10 Exam?

The Series 9/10 Exam consists of 200 questions (55 for Series 9 and 145 for Series 10) and students have 1.5 hours to complete the Series 9 Exam and 4 hours to complete the Series 10 exam. You must score at least a 70% on each exam to pass. The exams do not have to be taken on the same day and students may take them in any order. The General Securities Sales Supervisor registration will not be approved until the student passes both exams. Note that if both exams are not passed within two years of one another, the exam taken and passed will be invalidated.

Below are the job functions the exam tests for:

Series 9:
  • Supervise the Opening and Maintenance of Customer Options Accounts
  • Supervise Sales Practices and General Options Trading Activities
  • Supervise Options Communications
  • Supervise Associated Persons and Personnel Management Activities
Series 10:
  • Supervise Associated Persons and Personnel Management Activities
  • Supervise the Opening and Maintenance of Customer Accounts
  • Supervise Sales Practices and General Trading Activities
  • Supervise Communications with the Public
ABTrainingCenter.com offers Series 9 training materials to help individuals pass the Series 9 exam and earn a Series 9 license.

Recommended Courses & Available Training Options For Earning Your Series 9

To find training for earning your Series 9 license, simply click on any of the recommended courses below, or search under "Licensing/Designations" in the search box thereafter for "Series 9". Good luck earning your license!

Recommended Training Courses:

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Related Links

Series 9 Questions, Series 9 Study
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