FINRA · License Prep

Series 9

General Securities Sales Supervisor — Options Module

Half of the Series 9/10 supervisor pair. Covers options supervisory responsibilities for general securities sales supervisors.

Questions

Time limit

90 min

Pass score

70%

State fee

$135

Topics covered

Supervision of options accounts
Account approval, ROP duties, position & exercise limits.
Supervision of options trading
Order handling, complaint review, exception reports.
Supervision of options communications
ROP pre-approval of options communications & advertising.

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Practice exams are study aids only — they are not regulatory credit. FINRA CE Sponsor and NASBA accreditation pending.