Registered Options Principal Exam
The Series 4 Registered Options Principal exam is required by options exchanges,
the NYSE, and FINRA(NASD) for people who will supervise the day-to-day activities
of representatives who conduct business for the public in the options markets.
The Series 7, Series 42 or
Series 62 exam is a prerequisite to the Series 4
exam.
$80.00 test fee (Form U-4) 3 hour time limit
Series 4 Test Topics
|
Approximate Test
Questions
|
|
Option Strategies |
30 |
|
Customer Accounts |
60 |
|
Contract Characteristics |
10 |
|
Business Conduct |
25 |
|
|
Total 125
questions |
Click Here to Order Series 4 Products
|
