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Series 4 Exam:

Registered Options Principal
How to pass the series 4 exam with our series 4 exam materials. Our series 4 textbook and exam prep software will ensure that you are ready for the exam. Our series 4 exam training guides you through the entire series 4 exam prep process. The series 4 exam qualifies a candidate as a registered options principal and to supervise the option business of their employing broker dealer. The employing broker dealer must sponsor each candidate for the series 4 exam. The series 7 exam or series 62 exam may be used to meet the prerequisite to take the series 4 exam. The series 4 exam is 120 questions long with a time limit of 150 minutes. A passing score is 70 percent or higher.
series 4 textbook
Wiley Series 4 Exam Review 2014 + Test Bank: The Registered Options Principal Qualification Examination
Paperback · 312 pages · 191 test questions · Published January 2014

The go to guide to acing the series 4 exam —


Our series 4 textbook provides you with the knowledge you need and is designed to get you ready to pass the series 4 exam. The Wiley series 4 textbook is packed with test tips, series 4 sample questions and all the must know information you need to pass your exam. Our series 4 textbook has been developed in partnership with John Wiley & Sons to ensure you have the absolute best series 4 material.
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series 4 exam prep software

Series 4 Exam Prep Software

Over 650 questions · Works with all major browsers and mobile devices
Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The series 4 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your series 4 exam.
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Series 4 Exam Information
This exam is administered by The Financial Industry Regulatory Authority (FINRA). Upon successful completion of the Series 4 exam, an individual will have the qualifications needed to supervise a member firm's option business.

 

Enrollment Fee:
$100 US. Note that this is the examination enrollment fee ONLY--other fees may also apply.

Prerequisite:
You must be sponsored by a FINRA member firm. The Series 7, 17, 37, 38, 42 or 62 can be used to meet the prerequisite of the Series 4 exam.

Format:
Multiple Choice

Number of Questions :

Objective # Questions
Option Investment Strategies 34
Supervision of Sales Activities & Trading Practices  75
Supervision of Employees, Business Conduct, Recordkeeping & Reporting Requirements 16
   
TOTAL   125

Each candidate will be allowed 180 minutes to complete the examination. This time limit has been designed to provide enough time for all candidates to complete the exam. A score of 70% or higher is required to pass the series 4 exam.

 

"...I had purchased materials from another company for twice your price and they weren't half as good. Your series 4 exam textbook and software are amazing I passed and I thank you."
-- Paul R.

 

"Your Series 4 exam software made all the difference. The questions on the exam were exactly like the series 4 exam questions in your software."
-- Mark G.

The Securities Institute of America, Inc.
Phone 877-218-1776     Email: web@securitiesce.com