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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.


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