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 Ensure you are ready to pass your Series 9 exam with our best in class Series 9 exam training materials.

  Note:  We are the authors of the Wiley exam prep products so you are buying directly from the source! Got any questions? We would love to talk.
work with a Series 9 exam tutor to increase your score by an average of 10 points

Purchase both the Textbook and Exam Prep software - all in one package. This is one of our more popular deals and includes:

  • Series 9 Textbook
  • Series 9 Practice Exam Software
  • Free Shipping
  • Updated April 2019
Series 9 Textbook & Exam Prep Software



Series 9 License Exam Prep Products

  • Paperback
  • 216 pages
  • 197 test questions
  • Published January 2019

The "go to guide" to acing the Series 9 exam - Our Series 9 textbook provides you with the knowledge you need and is designed to get you ready to pass the Series 9 exam. The Wiley Series 9 textbook is packed with test tips, Series 9 sample questions and all the must know information you need to pass your exam. Our Series 9 textbook has been developed in partnership with John Wiley & Sons to ensure you have the absolute best Series 9 material.

Series 9 Exam Textbook



  • Series 9 Sample ChapterPDF
  • Textbook Table of ContentsPDF
  • Textbook IndexPDF
  • Free Shipping
  • Over 650 questions
  • Works with all major browsers and mobile devices
  • Updated Junel 2019

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 9 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 9 exam.

Series 9 Exam Prep Software



  • IOS
  • Android
  • Kindle FIRE HD
  • Kindle FIRE HDX
  • Nook HD
  • Nook HD +

If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 9 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 9 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach. If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders. Want to see what other students are doing? Then join a study group and share highlights, notes, questions, test tips and ideas with each other.

Series 9 Mobile Ebook



  • Demo

Series 9 Combination Packages

All of our combination packages are discounted. Check out the prices! Purchase one of the following combination packages if you are really serious about passing your exam in the quickest possible time.

Purchase the complete self study solution for both the Series 9 and Series 10 exams. This is another of our more inclusive deals and includes:

  • Series 9 Textbook
  • Series 10 Textbook
  • Series 9 Practice Exam Software
  • Series 10 Practice Exam Software
  • Series 9 Ebook
  • Series 10 Ebook
  • Free Shipping for all
Series 10 exam review and test bank



Series 9 Important Concepts

Short Stock Long Calls

An investor who sells stock short believes that they can profit from a fall in the stock price by selling it high and repurchasing it cheaper. An investor who has sold stock short is subject to an unlimited loss if the stock price should begin to rise. Once again, there is no limit to how high a stock price may rise. An investor who has sold stock short would receive the most protection by purchasing a call. A long call could be used to guard against a loss or to protect a profit on a short stock position. By purchasing the call, the investor has set the maximum price that they will have to pay to repurchase the stock for the life of the option. Before establishing a short stock long call position, the investor will have to determine:

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Customer option accounts require strict supervision to ensure compliance with all relevant rules and to ensure that customers only trade options within their approval limits. As customers and agents manage positions, it is quite possible for a customer’s account to end up with an option position that is not within the customer’s approval limit.

ROSFPs must review customer accounts frequently to ensure customers stay within their approved guidelines. It would be quite possible for a customer whose account is approved for covered calls only to end up with a naked option position if they sold the underlying stock without covering the short options. If a customer’s account contains a position

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A member firm’s public customer option business must be supervised by the firm in accordance with the supervision of its overall public customer business. Registered option and security futures principals (ROSFP) designated by the firm’s written supervisory procedures may supervise the member firm’s option business. The ROSFP is not required to complete the security futures firm element continuing education requirement and being designated as a ROSFP does not permit the ROSFP to supervise the member’s security futures business without satisfying the security futures firm element continuing education program.

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All standardized option contracts are issued and their performance is guaranteed by the Options Clearing Corporation (The OCC). Standardized options trade on the exchanges such as the Chicago Board Options Exchange and the NYSE Alternext.

All option contracts are for one round lot of the underlying stock or 100 shares. To determine the amount that an investor either paid or received for the contract, take the premium and multiply it by 100. If an investor paid $4 for 1 KLM August 70 call, they paid $400 for the right to buy 100 shares of KLM at $70 per share until August. If another investor paid $2 for 1 JTJ May 50 put, they paid $200 for the right to sell 100 shares of JTJ at $50 until May.

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