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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 |
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| 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.
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