Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in self-study test preparation for FINRA, NASAA, and NFA exams.
 

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SERIES 4 EXAM PRODUCTS

Note: All FINRA  (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 4 Exam Registered Options Principal

The options exchanges, NYSE and FINRA (NASD) require the Series 4 test for people who will supervise the day-to-day activities of representatives who conduct business for the public in the options markets.

Series 7, 42 or 62 is a prerequisite.   $80 test fee

(Form U-4) 3 hour time limit

 Test Topics

Approximate Test Questions
Option Strategies 30
Customer Accounts 60
Contract Characteristics 10
Business Conduct 25

Total 130 questions

Series 4 Exam Study Text

 

STUDY TEXT $185.00
 

Securities Exam's  8 1/2" by 11" Series 4 exam program comes in a 3-ring binder for ease of study. The 400+ plus page program relies heavily on graphics to communicate complex option strategies. This is the easiest and most effective way to learn options. The study program is divided into the eight major categories of the exam.

Short quizzes are interspersed throughout the chapters allow you to start and stop on key concepts. All questions have thorough explanations. Four "exam-tough" final exams will make sure there are no surprises. Over 800 questions in total.

 


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Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and  NFA exams -- and in registration services for
Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.

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