Official FINRA resources for Series 9, including the Series 9/10 exam page, content outline, corequisite references, and options-supervision rules.
Use these official resources as your source of truth. The main point of this page is not just to list links. It is to help you use the right official material in the right order for a combined Series 9/10 path where Series 9 covers the options-supervision half.
Quick links:
| Resource | Why it matters |
|---|---|
| Series 9/10 exam page (FINRA) | Confirms the combined qualification structure and the role the exam supports. |
| Series 9/10 Content Outline (PDF) | Gives the official function weighting and task-level language. |
| Series 7 exam page (FINRA) | Helps confirm the representative-level background the supervisor path assumes. |
| Corequisites (FINRA) | Useful when you need the current prerequisite and pairing structure. |
| Series 10 exam guide | Keeps the second half of the combined supervisor path visible while you plan. |
| FINRA Rule 2360 (Options) | The core options rule behind a large share of Series 9 supervision questions. |
| FINRA Rule 2220 (Options Communications) | Matters for communication approval, filing, and content-standard questions. |
| FINRA Rule 2210 (Communications with the Public) | Helps when a question broadens from options-specific communications to general standards. |
| FINRA Rule 3110 (Supervision) | Anchors the control and supervisory-system logic behind the exam. |
| The Options Clearing Corporation | Useful only as a secondary operational reference when options workflow context is unclear. |
| Fact | Current Series 9 detail |
|---|---|
| Role | Options-focused half of the Series 9/10 General Securities Sales Supervisor path |
| Scored items | 55 |
| Additional unscored items | 5 |
| Time | 1 hour 30 minutes |
| Passing score | 70 |
| Registration requirements | SIE + Series 7 corequisites; both Series 9 and Series 10 must be passed |
Before you commit to the exam, confirm these points:
Series 9/10 sales-supervisor route rather than a different principal pathSeries 9 is only one half of that combined routeSeries 9 in isolation while ignoring the broader sales-supervision context in Series 10Use this before you spend time with the rulebook:
Series 9/10 if the role is sales supervision and options supervision is part of the expected authoritySeries 24 if the target is broader general-securities principal coverageSeries 9 like a stand-alone options-product license; it is a supervision paperUse the official materials in this order:
Series 9/10 exam page and outline first so you stay anchored to the actual role and weightingRule 2360, Rule 2220, and Rule 3110 when a missed question turns on exact supervisory wordingAvoid these mistakes: