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FINRA Exam > Series 9

Series 9

2091
Series 9
Series 9 – Module 12: Final Review and Practice Exam
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Series 9 – Module 12: Final Review and Practice Exam
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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2091
Series 9
Series 9 – Module 10: Ethics, Reporting Violations, and Best Practices
Members only

Series 9 – Module 10: Ethics, Reporting Violations, and Best Practices
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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Membership
2091
Series 9 – Module 11: Advanced Options Scenarios and Supervision
Series 9 – Module 11: Advanced Options Scenarios and Supervision
Members only

Series 9 – Module 11: Advanced Options Scenarios and Supervision
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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Membership
2091
Series 9
Series 9 – Module 9: Regulatory Framework – CBOE, FINRA, SEC Rules
Members only

Series 9 – Module 9: Regulatory Framework – CBOE, FINRA, SEC Rules
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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2091
Series 9
Series 9 – Module 8: Option Position Limits and Exercise Limits
Members only

Series 9 – Module 8: Option Position Limits and Exercise Limits
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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Membership
2091
Series 9
Series 9 – Module 7: Supervision of Options Orders and Execution
Members only

Series 9 – Module 7: Supervision of Options Orders and Execution
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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Membership
2091
Series 9
Series 9 – Module 6: Handling Options Complaints and Disputes
Members only

Series 9 – Module 6: Handling Options Complaints and Disputes
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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Membership
2091
Series 9
Series 9 – Module 5: Margin Requirements for Options Accounts
Members only

Series 9 – Module 5: Margin Requirements for Options Accounts
This module covers the vital rules and regulations established by the SEC and SROs, essential for financial professionals. You'll learn about broke...
Beginner
5 hours
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