Series 9/10 Printed Materials


The printed material consists of a 2 volume text, final exam books and Quick book.



In this books only package, students receive the 900 pages of text in two volumes, plus 3,000 simulated exam questions with answers and rationales, and the Quick book for final review.  The topics covered by the text are:

Series 9 - Options

  • Options Strategies
  • Contract Characteristics
  • Customer Accounts
  • Business Conduct

Series 10 - Regulations

  • Sales Supervision
  • Customer Accounts
  • New Issue Markets/Trading Markets
  • Investment Companies/Retirement Plans/Financial Responsibility
  • MSRB Rules

Students should read the text material before completing the chapter quizzes and final exams.  The answers and rationales will be an added learning experience for the student.

FINRA exam preparation is provided in partnership with Passperfect® Associates.

Look Inside

Alternative text - include a link to the PDF!

Study FAQ

Series 9/10 Study Tips

Series 9/10 FAQ's

  Series 9/10 Study Tips

Read each section - Review all questions and detailed explanations, continue this process throughout the chapters.

Score a minimum of 82% on all quizzes and exams before moving on to the next topic.

Add some variety to your study process by using your online databank for a complete overview of all the topics learned Plan to use the Quick 9/10 book each time you review topics, to help increase your scores and to provide you a “preview” of upcoming topics.

Study for approximately 120 to 140 hours prior to the Series 9/10 exams. Then proceed to the Final Exams book.

Take regular breaks, about 15 minutes for 2 hours of study

For client support or instructor assistance with Series 9/10 topics call 800-795-5347 or email us at

  Series 9/10 FAQ's

How many questions are on the exam? The Series 9, Regulation of Options, exam contains 55 options questions, and the Series 10 exam contains 145 questions, for a total of 200 questions.

How long is the exam? 90 minutes for Series 9; 4 hours for Series 10.

How is the Series exam set up? You should anticipate a “bell-curve” exam. Which means the exam will start out at an easier level. As you progress through the exam, approaching the middle of the exam, test questions will become more difficult. As you near the end of the exam questions will once again become easier.

How much time can I expect to spend on the Series 9/10 study materials? You should plan to spend approximately 120 to 140 hours in study preparation, including the final exams. Keir Educational Resources strongly recommends that you complete your Series 9/10 study within three weeks to 5 months, but no longer than 5 months.

Where do I take the Series 9/10 examination? The Series 9/10 examination is a proctored exam and must be taken at a qualified exam center. To locate the one nearest you, please see or

How often is the Series 9/10 exam administered? Testing centers offer the exam at various dates.

Is there a fee for the Series 9/10 Exam? Yes, $80 for Series 9 and $125 for Series 10.

If I fail, how long do I have to wait before I can re-sit for the Series 9/10 exam? You must wait 30 days to re-test. However, if you fail more than three times, you wait 6 months before you become eligible again.

Am I required to take both exams at the same time? No, you may take them in any order but must pass both within 2 years.

Am I allowed to take a calculator into the exam center? No. However, the exam center provides calculators upon request.

Will I be allowed to take paper into the exam center? No. However, the exam center provides scratch paper.

Do I have to be sponsored to take this exam? Yes.

What score is required to pass the Series 9/10 examination? 70% on both exams.

Is there a prerequisite? Yes, Series 7