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KAPLAN Financial's (formerly Dearborn's Passtrak) Securities Licensing Exam Prep programs have helped thousands of prospective agents and representatives pass their licensing exams on the first try.

The entire system is structured to build knowledge, confidence, and exam-readiness. Each program is extremely efficient, so your time is well-spent. The programs are focused, realistic and relevant—aimed at helping you build knowledge to enhance your pass-rate success.

You may notice that some of the programs are now first editions -- after having been sometimes up to their 19th and even 34th editions.  These first editions are updated versions of those older editions that are now under the Kaplan Financial umbrella.  Rest assured that they are the same successful programs.

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KAPLAN FINANCIAL SERIES 9
General Securities Sales Supervisor Exam -Options

This exam is required by FINRA or another self-regulatory organization (SRO) of its members and employees of its members to become registered as a General Securities Sales Supervisor.  You must pass the Series 9 and Series 10 exams to be qualified to supervise the purchase and sale of nonexempt securities.

EXAM PREREQUISITES:

Series 7 (General Securities Representative) license.

THE EXAM:

The Series 9 exam is administered by FINRA.  It is a 90-minute, 55-question exam on the Regulation of Options. You must score at least 70% to pass and become eligible for registration.

PREMIER SET
PREMIER SET contains a License Exam Manual
and
SecuritiesPro™ QBank Online Download

The License Exam Manual covers the following topics:

  • Introduction to options
  • Income and hedging strategies
  • Multiple option strategies
  • Nonequity options
  • Options accounts and supervision
  • Trading rules and margins
196 pages

SecuritiesPro™ QBank Online Download gives online access to students who want to pass the licensing exam and test their exam readiness with the following:

  • An online collection of practice questions built on the most current test topics and updated to address the latest regulations
  • Hundreds of questions to create a variety of online practice exams
  • A mastery exam that closely replicates the exam experience in degree of difficulty and topical coverage
Regular price: $169.00; Our price: $152.00
LICENSE EXAM MANUAL
Regular price: $109.50; Our price, $98.50
SECURITIES PRO™ QBANK ONLINE DOWNLOAD
Regular price: $59.50; Our price, $53.50
4th edition, January 2010
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