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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:
    Series 4 License
  • 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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