Series 9/10 Practice Test 2026 — Free Series 9/10 Exam Prep Questions
Branch managers and sales supervisors at broker-dealers take two FINRA exams: the Series 10 on general securities supervision and the Series 9 on options supervision. This practice set follows FINRA's combined content outline, covering supervision of personnel, customer accounts, sales practices and trading, communications, and options accounts and trading, with each answer tied to the rule that decides it.
A customer of Marbury Securities buys 1 XYZ Jul 50 call at 3 and 1 XYZ Jul 50 put at 2. What are the breakeven points at expiration and the maximum loss?
Series 9/10 format, scoring & key facts
Computer-based at Prometric test centers. Series 9 lasts 1 hour 30 minutes and Series 10 lasts 4 hours; they may be taken in either order, on the same day or different days, within the 120-day enrollment window. The test center provides a whiteboard and a basic electronic calculator; no reference material is allowed. Online delivery is available only with an approved accommodation.
| Series 9 (options) | 60 items (55 scored + 5 pretest), 1 hour 30 minutes, pass 70%, $175 |
|---|---|
| Series 10 (general) | 155 items (145 scored + 10 pretest), 4 hours, pass 70%, $235 |
| Order | Either order, same day or different days, within the 120-day window; both must be passed within two years of each other |
| Series 10 functions | Associated persons 28, Customer accounts 49, Sales practices & trading 52, Communications 16 |
| Series 9 functions | Options accounts 18, Options sales practices & trading 19, Options communications 5, Associated persons 13 |
| Eligibility | Firm sponsorship; SIE and Series 7 |
| Calculator | Basic calculator and whiteboard provided by the test center |
| Testing | Prometric test center (online only with an approved accommodation) |
Facts last verified Oct 26, 2026. Source: www.finra.org/registration-exams-ce/qualification-exams/series9-10. Always confirm details with FINRA before your exam.
When can you take the Series 9/10?
The Series 9 and 10 are offered year-round at Prometric test centers, within the 120-day enrollment window opened by your sponsoring firm.
Plan backwards from your exam date
What the Series 9/10 covers
Every PrepBanq Series 9/10 test mirrors the official domain weights.
Domain distribution
% of the exam| Content domain | Weight | ≈ Questions on exam | Our practice questions |
|---|---|---|---|
Series 10: Supervise Associated Persons and Personnel Management ActivitiesSeries 10 Function 1, 28 of 145 scored items: hiring and registration, outside activities and personal accounts, corrective action, training and continuing education, and branch inspections. | 14% | ~28 | 21 questions → |
Series 10: Supervise the Opening and Maintenance of Customer AccountsSeries 10 Function 2, 49 items: new-account approval, best interest and AML, transaction and transfer review, margin accounts, and account maintenance. | 24.5% | ~49 | 37 questions → |
Series 10: Supervise Sales Practices and General Trading ActivitiesSeries 10 Function 3, 52 items: customer complaints, trade errors, daily trade review, employee accounts, and product sales practices. | 26% | ~52 | 39 questions → |
Series 10: Supervise Communications with the PublicSeries 10 Function 4, 16 items: telemarketing, retail communications, correspondence and institutional communications. | 8% | ~16 | 12 questions → |
Series 9: Supervise the Opening and Maintenance of Customer Options AccountsSeries 9 Function 1, 18 of 55 scored items: options account approval, recommended options strategies, and options margin. | 9% | ~18 | 13 questions → |
Series 9: Supervise Sales Practices and General Options Trading ActivitiesSeries 9 Function 2, 19 items: options complaints, trade errors, daily trade review including position and exercise limits, and exercise and assignment operations. | 9.5% | ~19 | 14 questions → |
Series 9: Supervise Options CommunicationsSeries 9 Function 3, 5 items: options retail communications, correspondence and institutional communications. | 2.5% | ~5 | 4 questions → |
Series 9: Supervise Associated Persons and Personnel Management ActivitiesSeries 9 Function 4, 13 items: options products and strategies, market participants and trading, profit, loss and breakeven calculations, and options taxation. | 6.5% | ~13 | 10 questions → |
How to register for the Series 9/10
- 1Qualify at representative levelPass the SIE and the Series 7.
- 2Get enrolled by your firmYour FINRA member firm files Form U4 requesting the General Securities Sales Supervisor position, which opens a 120-day window to take both exams.
- 3Request accommodations if neededGet FINRA's accommodation approval before you book.
- 4Schedule both exams with PrometricBook the Series 9 and Series 10 in either order, on the same day or different days. Changes made fewer than 10 business days ahead cost 50% or all of the fee.
- 5Test and registerGet each result on screen. After you pass both, your firm completes your registration.
Eligibility
You must be associated with and sponsored by a FINRA member firm (or another applicable SRO member firm), which requests the General Securities Sales Supervisor position on Form U4. To hold the registration you must also pass the SIE and the Series 7, and you must pass both the Series 9 and the Series 10.
What to bring
- One valid, unexpired government-issued ID with your photo and signature. The test center supplies a whiteboard and a basic calculator; you may not bring reference material or your own calculator.
Retake policy
You wait 30 days after a first or second failed attempt, and 180 days after a third failure within two years. From January 19, 2027 these drop to 15 days and 60 days (FINRA Regulatory Notice 26-18).
Testing accommodations
Request testing accommodations from FINRA before you schedule. Online testing for the Series 9 and 10 is available only as an approved accommodation (for health reasons, or if you live more than 150 miles from a test center).
Score release
Your pass/fail result appears on screen when you finish each exam at the test center.
Credential renewal
Both exams must be passed within two years of each other, or the exam you passed is invalidated. Once registered, the qualification lapses if you are not registered with a firm for 2 years (FINRA Rule 1210.08).
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Series 9/10 FAQ
How many questions are on the Series 9/10?
The Series 9/10 has 215 questions (200 of them scored) and you have 5 hours 30 minutes to finish. Question types: Two separate multiple-choice exams with four answer choices and one correct or best answer per item. Series 9 (options): 55 scored items plus 5 unscored pretest items. Series 10 (general): 145 scored items plus 10 unscored pretest items. Items are closed-stem questions, open-stem sentence completions, or EXCEPT/NOT items. There is no penalty for guessing..
How long is the Series 9/10 exam?
Testing time for the Series 9/10 is 5 hours 30 minutes.
What is the passing score for the Series 9/10?
Series 9/10 passing standard: 70% on the Series 9 and 70% on the Series 10. Score range: Scores are equated to a common scale; 70% is the passing score on each exam.
How much does the Series 9/10 cost?
The Series 9/10 registration fee is Series 9 $175; Series 10 $235. Check the official site for current fees before you register.
What is on the Series 9/10?
The Series 9/10 covers Series 10: Supervise Associated Persons and Personnel Management Activities (about 14%), Series 10: Supervise the Opening and Maintenance of Customer Accounts (about 24.5%), Series 10: Supervise Sales Practices and General Trading Activities (about 26%), Series 10: Supervise Communications with the Public (about 8%), Series 9: Supervise the Opening and Maintenance of Customer Options Accounts (about 9%), Series 9: Supervise Sales Practices and General Options Trading Activities (about 9.5%), Series 9: Supervise Options Communications (about 2.5%), Series 9: Supervise Associated Persons and Personnel Management Activities (about 6.5%).
Who administers the Series 9/10?
The FINRA Series 9 and 10 — General Securities Sales Supervisor Exams is administered by FINRA. Delivery: Computer-based at Prometric test centers. Series 9 lasts 1 hour 30 minutes and Series 10 lasts 4 hours; they may be taken in either order, on the same day or different days, within the 120-day enrollment window. The test center provides a whiteboard and a basic electronic calculator; no reference material is allowed. Online delivery is available only with an approved accommodation..
Can you retake the Series 9/10?
You wait 30 days after a first or second failed attempt, and 180 days after a third failure within two years. From January 19, 2027 these drop to 15 days and 60 days (FINRA Regulatory Notice 26-18).
Is there a free Series 9/10 practice test?
Yes. PrepBanq has 15 free Series 9/10 practice tests with 150 exam-style questions in the real Series 9/10 formats, and every answer is explained. No credit card is needed.
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