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NASD SeriesContact, Timetable & Accomodation
Supervisory LevelNASD Blended Learningdownload price list
Futures + Options Supervisors
Series 30
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Series 9
Series 4

If you need to be registered as a principal and your responsibilities will be limited to sales supervision as a branch office manager in a member firm. Covers regulation of options only.

To achieve the full title of Branch Office Manager you must pass both the Series 10 and Series 9 exams. A Series 7 or Series 17 pass is a pre-requisite.

Exam profile
1 hour 30 minutes 55 questions

Study Time
Around 15-20 hours

Blended Learning
                           Study Manual - printed
                           Practice Examinations & Explanations - printed, CD-Rom, Interactive

Virtual Class


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Series 9