Series 4 Exam Details
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 7, 17, 37, 38, or 62 (with Series 42)
125 multiple-choice questions
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.
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.
Begin Preparing for the Series 4 Exam
The Essential Self-Study Package gives you the flexibility of studying on your schedule. Planning your exam preparation is made simple with our customizable Study Calendar that schedules daily tasks based on your study time frame and exam date
The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Calendar based on your schedule and exam date.