Remote testing appointments are now available for the SIE, Series 6, Series 7, Series 63, Series 65, and Series 66 qualification exams.  Schedule Your Exam »

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

3 hours

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.

Career Corner

Click here to access news, industry updates, and career information.

Read More

 

Begin Preparing for the Series 4 Exam

 

Essential Package

Self-Study Option

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

Basic Package

Self-Study Option

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.