Series 4 License
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How To Earn Your FINRA Series 4 License
Searching for FINRA Series 4 training and help passing your Series 4 exam? Then you've come to the right place!
The Series 4 is an exam and securities license entitling the holder to supervise options sales personnel and compliance issues. It covers topics such as options strategies, foreign exchange options and taxation.
What Is A FINRA Series 4 License?The FINRA Series 4 License, aka the Registered Options Principal Qualification Examination, is designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts.
Covered supervisory activities under the Series 4 include:
- Market making
- Underwriting
- Regulatory compliance over trading
- Advertising of options
Are There Prerequisites To Take The Series 4 Exam?Yes. Before taking the Series 4 Exam, a candidate must have a
Series 7 license.
What Is On The Series 4 Exam?The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a registered options principal, including the rules and statutory provisions applicable to the supervisory management of a firm's options personnel, accounts and trading, as well as exchange rules and regulations applicable to the trading of options contracts.
The outline is comprised of the six main job functions of a Series 4 principal:
- Supervise the Opening of New Options Accounts
- Supervise Options Account Activities
- Supervise General Options Trading
- Supervise Options Communications
- Implement Practices and Adhere to Regulatory Requirements
- Supervise Associated Persons and Personnel Management Activities
The exam is 125 multiple-choice questions and requires at least a 72% to pass. Students are given 3 hours and 15 minutes to complete the test.
ABTrainingCenter.com offers FINRA Series 4 training materials to help individuals pass the Series 4 exam the first time.
Recommended Series 4 Courses & Available Training Options
To find training for earning your Series 4 license, simply click on any of the recommended courses below, or search under "Licensing/Designations" in the search box thereafter for "Series 4".
Good luck earning your license!
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Self-Study Materials
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