Series 4 Exam Details

Advance Your Career: Get Series 4 Certified with Kaplan

The FINRA^® Series 4 Registered Options Principal Exam 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.

Series 4 Exam at a Glance

41335 KFE - BRD - Web Migration - Image Library - Teams - 15

41335 KFE - BRD - Web Migration - Image Library - Business Professional - 14

3:15 hours
Time Limit
125
Multiple-choice questions
72%
Passing score required to pass

More About the Series 4 Exam

Outline of Topics Covered

Options Investment Strategies
Supervision of Sales Activities and Trading Practices
Supervision of Employees, Business Conduct, and Recordkeeping and Record Requirements

Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.

Additional Information

For more exam details, including fees and passing score, please visit FINRA.

Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

Series 4 Exam Essentials

41335 KFE - BRD - Web Migration - Image Library - Online Learning - 5

About the Exam

The FINRA^® Series 4 Exam

Required to hold the Registered Options Principal registration, along with the SIE, and Series 7 exams
Covers supervising a member's options sales practices with the public for products including equity, index, and government and mortgage-backed securities options

Go to FINRA