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Series 9 Resources — Official FINRA Links & Content Outline

Official resources for the FINRA Series 9 (General Securities Sales Supervisor, Part 2 of Series 9/10) exam: exam page, content outline PDF, and key rule references.

On this page

Use these official resources as your source of truth.

Exam page & outline

Series 9/10 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series9-10
Series 9/10 Content Outline (PDF): https://www.finra.org/sites/default/files/Series_9-10_Outline.pdf

SIE exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie
Series 7 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series7
Series 10 hub (this site): /exams/finra/series10/

High-yield FINRA/SEC references (Series 9 scope, high level)

Options (FINRA Rule 2360): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2360
Options Communications (FINRA Rule 2220): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2220
Communications with the Public (FINRA Rule 2210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210
Supervision (FINRA Rule 3110): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3110
Best Execution (FINRA Rule 5310): https://www.finra.org/rules-guidance/rulebooks/finra-rules/5310
Anti-Money Laundering (FINRA Rule 3310): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3310
Regulation Best Interest (Exchange Act Rule 15l-1): https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15l-1
Regulation S-P (privacy): https://www.ecfr.gov/current/title-17/chapter-II/part-248

Options industry references (high level)

OCC (The Options Clearing Corporation): https://www.theocc.com/
Cboe rulebook: https://www.cboe.com/us/options/regulation/rule_book/