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.

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 Details

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.