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Series 4 Exam Prep

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How To Earn Your Series 4 License

If you are looking to serve as a Registered Options Principal in the financial services industry, then you probably are wondering how to pass the Series 4 exam … How much you need to study for it, what material is covered in the exam, and what are some tips that will increase your chances of obtaining the Series 4 license on your first try?

About Your Series 4 License

The Series 4 license is known formally as the Registered Options Principal license and is a FINRA requirement for those persons who will function as a registered options principal, compliance registered options principal, or senior registered options principal in a member firm. The Series 4 exam tests one's knowledge of options trading, Exchange and Options Clearing Corporation rules, and regulations applicable to the trading of options contracts.

Bank Training Center provides numerous Series 4 exam preparation courses - such as Series 4 seminars, Series 4 online courses, Series 4 self-study packages, and Series 4 Webcasts - to help you pass your Series 4 exam and earn your Series 4 license.

Covered supervisory activities under the Series 4 include:
  • Market making
  • Underwriting
  • Regulatory compliance over trading
  • Advertising of options
About Your Series 4 Exam
  • Your Series 4 exam prep can be taken via in-person seminar, online, self-study, or interactive formats
  • Recommended study time is 40 hours for the course materials, plus several additional hours to take the sample Series 4 exam prep questions
  • Series 4 candidates are required to be sponsored to sit for the licensing exam
  • Exams for your Series 4 license can be scheduled at any Prometric test center nationwide

Recommended Series 4 Courses & Available Training Options

To find training for earning your Series 4 license, including Series 4 exam webcasts or Series 4 exam practice tests, simply click on any of the recommended courses below, or search under "Licensing/Designations" in the search box thereafter for "Series 4".

Good luck on your Series 4 exam!

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Series 4 Exam Requirements and Information

The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a registered options principal, including the rules and statutory provisions applicable to the supervisory management of a firm's options personnel, accounts and trading, as well as exchange rules and regulations applicable to the trading of options contracts.

The outline is comprised of the six main job functions of a Series 4 principal:
  • Supervise the Opening of New Options Accounts
  • Supervise Options Account Activities
  • Supervise General Options Trading
  • Supervise Options Communications
  • Implement Practices and Adhere to Regulatory Requirements
  • Supervise Associated Persons and Personnel Management Activities
The exam is 125 multiple-choice questions and requires at least a 72% to pass. Students are given 3 hours and 15 minutes to complete the test.

Are There Prerequisites To Take The Series 4 Exam?

Yes. Before taking the Series 4 Exam, a candidate must have a Series 7 license.
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