FINRA 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:

$105 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

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Series 4 Study Textbook

Series 4 Exam Textbook

Paperback    312 pages    191 test questions    Published December 2015

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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Over 650 questions    Works with all major browsers and mobile devices

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