Series 9 Exam Prep

Series 9 Exam Prep Products

Are you ready to prepare for your Series 9 Exam? Then you will need the best materials on the market as your guide. Our Series 9 Exam products drive the highest pass rates in the industry. We have designed them to work with you. To lead you through your exam process as you develop your knowledge and learn the material.

Created in partnership with John Wiley & Sons our materials are laid out to help you build your knowledge base step by step. They are extremely high quality and they are exactly what you would expect to receive from the world’s largest publisher of financial information.

As the authors of this material, we are dedicated to your success. So if you have a question please reach out. We happy to help in any way possible.

Series 9 Exam Textbook

As you prepare for your Series 9 Exam your Textbook is the ideal starting point. Designed to guide your efforts from the very beginning, this text is jam packed from cover to cover with all the stats, facts and details you need to be successful.

Our Series 9 Exam Textbook was designed in partnership with John Wiley & Sons, the top name in financial education. This ensures you are receiving the absolute best materials on the market and you can have confidence in your preparation efforts.

Let this textbook form the foundation of your efforts as you select your ideal mix of preparation materials.

Series 9 Exam Prep Software

The Series 9 Exam Prep Software allows you to apply what you are learning in real time as you work towards mastering the new information. This software represents a step-by-step approach to the Series 9 Exam that is designed to mimic the actual test.

Each practice test is delivered randomly based on the parameters you choose to apply. You have the option to select the topics you want to cover, choose the number of questions and even specify how and when you want the answers revealed. As you take each test the software will track your progress, highlighting the areas that still need work and even alerting you when you are ready to sit for the exam.

We recommend our clients take as many practice tests as possible before sitting for the Series 9 Exam. This software is accessible from your mobile device and delivers a random selection of question for each practice test. Simulated final exams are created by just tapping or clicking the start button. Best of all you can take practice questions on any mobile device, tablet or computer.

Series 9 Mobile eBook

Here at the Securities Institute we believe our Mobile Learning Library represents the next era of e-learning. Much more than just another book turned pdf, our Series 9 Mobile eBook allows you to interact with the material like never before. It contains everything included in the Series 9 Textbook plus a mobile format and an endless list of extra options.

First, with the Series 9 Mobile eBook you can highlight text, take notes and even write down questions just like with a paper book. But that’s just the beginning. This new mobile format also allows you to join study groups with your peers who are walking through the preparation process right along side you. Together you can work towards you goal supporting and encouraging each other along the way.

If you are ready to take your preparation to the next level, then the Series 9 Mobile eBook is exactly what you’ve been waiting for!

Combination Packages

For many clients a combination package is the ideal way to prepare for their Series 9 Exam. These packages are preselected and are designed around our most popular combinations. Plus, by purchasing the package you receive our lowest possible price along with free shipping on your entire order.

It’s a deal that’s hard to beat!

Combo #1: Series 9 Textbook & Exam Prep Software

This convenient package includes both the Series 9 Textbook and the Exam Prep Software. It is perfect for those individuals who prefer a self-study approach and who want to hit the ground running with their study sessions.

Combo #1 Includes:

• Series 9 Textbook
• Series 9 Practice Exam Software
• Free Shipping

Combo #2: Series 9 & 10 Complete Package

Over time we have found that many of our clients who sit for the Series 9 Exam are also preparing for the Series 10 Exam. This package was created specifically for their unique needs. It includes absolutely everything you need for both exams all in one convenient bundle. Purchase your materials together to take advantage of substantial savings and receive free shipping on your entire order.

Combo #2 Includes:

• Series 9 Textbook
• Series 10 Textbook
• Series 9 Practice Exam Software
• Series 10 Practice Exam Software
• Series 9 Mobile eBook
• Series 10 Mobile eBook
• Free Shipping for all

FINRA Series 9 – Exam Information

The Series 9 Exam is developed and administer by the Financial Industry Regulatory Authority, FINRA.

Enrollment Fee:

The Examination Enrollment fee for the Series 9 Exam is $80. Please keep in mind that this represents only the enrollment fee and that other costs are likely to apply.

Prerequisites:

At this time to sit for the Series 9 Exam you must be sponsored by an FINRA member firm and have successfully passed the Series 7.

Format:

The Series 9 Exam is delivered in a Multiple Choice format.

Series 9 Exam Details:

The Series 9 Exam is comprised of 55 Multiple Choice Questions and has a time limit of 90 minutes. Keep in mind that this time limit is designed to allow ample time to finish the exam and should not be a factor for completion.

The passing score for the Series 9 Exam is 70% or higher.

How to Prepare for the Series 9 Exam

and become a General Securities Sales Supervisor

What is the best way to prepare for the Series 9 exam?

Are you ready to move forward with your Series 9 Exam but aren’t sure where to start? We understand. Sitting for the Series 9 is a substantial commitment, one that takes a great deal of both time and dedication. Our goal is to help you prepare effectively so you are able to absorb and then master the key concepts.

To prepare for the Series 9 we recommend using a combination of the Series 9 Textbook, Exam Software and the Mobile eBook. This approach will give you full access to the material regardless of your location and will help you learn the concepts and then apply what you have learned through repeated practice tests.

The next step is to make sure you have an effective testing strategy in place before you ever sit for the exam. In the article below we will cover what we feel to be the best strategy for answering questions you aren’t sure of.

Passing the Series 9 Exam

Take a minute to think back to the years you spent behind a desk in a classroom. We all had that one friend who never seemed to study but always walked away with a passing grade. When you asked them about it they would merely shrug and mumble something about being a “good test taker.” It was so frustrating! I can remember shaking my head and wondering what in the world they were doing that I wasn’t. And you know what? Over time I figured it out! These people aren’t doing anything magic. They have just learned how to approach a multiple choice test in a logical manner.

It’s a skill set. And its one I’m going to teach you right this very second. Over the next few minutes we are going to break down testing into clear actions that apply logic to choosing the answer even when you aren’t sure of the information. This proven approach can help improve your score without adding a single minute of study time. Ready to learn more? Let’s get started!

• Read the Questions

When you sit down to test, make sure you are taking your time and reading the whole question. This means WORD for WORD. It may sound simple, but as adults we have trained ourselves to skim when we read. We look for keywords and our brain fills in the rest. Most of the time this isn’t an issue and we get by just fine. But in a testing situation it can be the difference between a right and wrong answer. So make sure you slow down and read. That’s the key first step!

• Process of Elimination

Once you read through the question the next step is to look at the answers. Of the four choices there are sure to be at least one or two you KNOW are wrong. Go ahead and mark those out. Each choice you eliminate increases your odds of choosing the correct answer. If you eliminate two of the four choices you now have a 50% chance of picking the right answer!

• Watch the Wording

Now, you’ve read the question and eliminated the incorrect answers. The next step is to look for some common wording that tends to appear over and over again on the Series 9 Exam. The choice you have will determine your next step.

• All of the Above

If this option is left after process of elimination, pick it! The odds are in your favor that this will be correct.

• None of the Above

If this option is left after process of elimination, do not pick it. Statistically speaking it will not be the correct answer.

• Not Enough Information to Determine

On the Series 9 Exam this is NEVER going to be the right answer. The writers of the test will always give you enough information so this is almost like a free choice. DO NOT pick this.

• Work to the End

Now that you have your testing strategy, let’s take just a moment to talk about test day. When you sit for the exam I want you to answer all the questions you “know” first and then go back and work through the ones you are unsure of. But, there isn’t a way to “skip” questions. So here is what you are going to do.

When you come to a question you don’t know choose any answer and then select “Record and Review.” This will put that specific question in a queue. Once you have finished the exam the computer will bring up all the questions you marked for review and give you a chance to go through them a second time. Now that the bulk of the test is done, you can take your time on the handful you weren’t sure of and apply this system.

Sitting for the Series 9 Exam can be stressful no matter who you are. But using these tips can help improve both your confidence and your score because it gives you a logical plan to apply even when you don’t know the answer. Matching these skills with diligent preparation can help you pass your exam and advance your career.

The Series 9 Exam is a professional exam that registers an individual as a General Securities Sales Supervisor and allows them to supervise a member firm’s option business.

Series 9 Exam Details:

• 55 Multiple Choice Questions
• 90 minute time limit
• Passing score of 70% or higher

Our Securities Institute professional preparation materials will guide you as you study for the exam and expand your knowledge. We recommend utilizing a mix of materials including both the Series 9 Textbook and Software.

Taking the Series 9 Exam

The Series 9 Exam is delivered via the PROCTOR system. This computer based system is known for being extremely user friendly and is often compared to a standard ATM interface. The Series 9 is comprised of 55 multiple choice questions and must be completed within 90 minutes. Successfully passing this exam will allow and individual to supervise their firm’s option business.

Please Note: The Series 9 has a Co-Requisite. Candidates must also pass the Series 10 Exam to earn their full credentials.

How to Prepare for the Series 9 Exam

We recommend a minimum of 30 to 40 hours of preparation before sitting for the Series 9 Exam. This should include a mix of both the Series 9 Textbook and Exam Prep Software. If you are diligent in your preparation efforts but are still struggling with the information, then you should definitely consider our professional tutoring services.

What type of business may be conducted by Series 9 General Securities Supervisor?

The Series 9 Exam is a professional exam that registers an individual as a General Securities Sales Supervisor and allows them to supervise a member firm’s option business.

What score is needed to pass the Series 9 exam?

Candidates need a score of 70% or higher to pass the Series 9 exam.

Are there any prerequisites for the Series 9 exam?

All candidates are required to successfully pass the Series 7 Exam before they can sit for the Series 9.

Please Note: The Series 9 has a Co-Requisite. Candidates must also pass the Series 10 Exam to earn their full credentials.

How do I schedule my Series 9 exam?

Contact your firm’s principal to find out more about testing in your area. They will be able to reach out to local testing centers and schedule your exam. The Series 9 can be taken any day the testing center is open.

Please Note: Most states require you to be sponsored by an FINRA member firm to sit for the Series 9 Exam.

What must I bring to the exam center?

A picture ID is required. All other materials will be provided, including a calculator and scratch paper.

How long will it take to get the results of my Series 9 exam?

Your exam is graded instantly upon completion. Once you have submitted the test your grade will appear on the screen. Then the testing center will provide you with a paper copy before you leave.

Series 9 test-taking tips!

• Watch out for hedge clauses, for example, except and not
• Eliminate wrong answers
• Identify synonymous terms
• Be wary of changing answers
• Read the full question before answering
• Identify what the question is asking
• Identify key words and phrases

Series 9 Tutoring

Many of our clients find that even though they are dedicated with their self-study approach, they still need some extra help to build their confidence before they sit for the Series 9 Exam. Whether it is an issue of time or just the sheer volume of information covered, working with a professional tutor can give you the edge you need to master the material and successfully pass the exam the first time around.

Here are a few common situations where choosing to work with a tutor may give you the boost you need:

• You have previously taken the Series 9 exam and did not pass.
• You are an industry veteran who does not have the time to self-study.
• You are dedicated to preparing for the exam but are still not confident in your knowledge.

It Makes a Difference

When you work with a professional tutor you have their focused attention and their commitment to your success. Our tutors are leaders in their fields with years of experience. They are invested in your success and what to see you thrive in your career. Throughout this process their goal will be to partner with you as you move forward together and work through your highly tailored training plan. Together you will master the material and together you will be successful!

Let’s take a closer look at the difference professional tutoring made for our clients:

Series 9 Tutoring Case Study #1

A client came to use after failing their Series 9 exam by a mere 4 points. This was an industry veteran who typically did not conduct options business but due to changes in regulations now needed to pass the Series 9 to continue working with their client base. She knew time was of the essence but she hadn’t even looked at debit and credit spreads since passing her Series 7 over 10 years earlier. She was very experienced but this particular facet of finance was not what she worked with on a daily basis.

Solution

Our first step with this client was to pair her with a tutor that could accurately pinpoint her knowledge gaps. Form there the two built a plan to fit her needs and build her knowledge as quickly as possible. The instructor quickly found she was having trouble working with multiple option strategies and determining breakeven points for these positions.

From there the plan was simple. The two spent a total of six hours working together through virtual tutoring sessions. They focused specifically on using the T-chart in relation to math calculations. After conducting a comprehensive review of non-equity options the tutor felt the candidate was ready and that she had mastered this difficult material. Five short days later the candidate passed her exam.

Series 9 Tutoring Case Study #2

After working over 10 years with a large wire house one of our candidates was told he would have to pass both the Series 9 and the Series 10 to keep his position. It had been years since this candidate had prepared for an exam and he did not even know where to start. He attempted to self-study on his own with materials from another publisher but was only able to answer 33 of the 55 questions on the Series 9 correctly. At this point he knew he needed help and reached out to learn more about our private tutoring program.

Solution

Our first step was to send the candidate our Series 9 Textbook and assign specific chapters for him to read and study. From there he worked through several virtual training sessions with is tutor while following up each interaction with additional reading from our Series 9 Mobile eBook. In this case just being walked through the material by someone who was knowledgeable seemed to make a huge difference. With guidance the candidate knew where to focus and what topics would be important.

Just before test day we doubled our focus and scheduled a face-to-face 4-hour training session. This time was used to ensure the candidate had mastered all the details and was ready to sit for the exam. The next day he successfully passed his Series 9 exam.

Series 9 Tutoring Case Study #3

We were contacted by a Producing Manager of an OSJ at a non-NYSE member firm. This individual had recently accepted a position at a member firm and would now need to pass both the Series 9 and Series 10 exams. The exams themselves weren’t the issue. A contingency of the offer was that both exams be successfully passed within 60 days. After 5 weeks of self-study the candidate passed the Series 10 but had not even opened the book for the Series 9 Exam.

We had 3 weeks. Time was definitely of the essence!

As the candidate was still trying to learn the ropes at his new job, he knew he wouldn’t be able to prepare for the exam on his own. So he reached out to set up tutoring sessions knowing that he did not have time for a re-test. To keep his new position he would have to pass on the first try.

Solution

Our first step was to send the candidate our Series 9 Mobile eBook. This would allow him to study on his phone every time he had even a 5-minute break throughout his day. He met with our tutor each night to walk through the book chapter by chapter for a full 7 days. Then, the two scheduled a full day review on Wednesday of the 2nd week to go over the material face-to-face from 9 to 5. The candidate sat for the exam the next day and passed. He was able to meet the 60-day deadline and could now fully focus on his new position.

Here at the Securities Institute we understand that effective tutoring is based on individual need. That is why we treat each case as the individual it is. We work with our clients to create the right plan for their needs and to help them achieve the success they are looking for.

If you have any questions on our tutoring program, please don’t hesitate to ask. We are happy to help however we can!