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FINRA (formerly NASD) - Series 4: Registered Options Principal
FINRA Series 4 Registered Options Principal

Series 4: Registered Options Principal is required for those who serve as a registered options principal, compliance registered options principal, or senior registered options principal. Series 4 presents and tests knowledge relating to options trading, exchange rules, and regulations applicable to the trading of options contracts, as well as the rules of the Options Clearing Corporation.

The Series 4 exam requires a Series 7 license as a prerequisite.

To obtain your Series 4 license, you should plan to spend 30 to 40 hours in study preparation. The rational exam is a three-hour test which contains 125 multiple choice questions. Series 4 candidates must score 70% or better on the exam in order to pass.

Series 4 Study Materials

About the Series 4 Exam

Series 4 FAQs (Frequently Asked Questions)

Series 4 Study Tips

Class Locations and Dates
 FINRA (formerly NASD)
Series 4
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Topic List for CFP® Certification Examination Copyright © 2005-2006, Certified Financial Planner Board of Standards, Inc. All rights reserved. Used with permission.

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP (with flame logo)®, which it awards to individuals who successfully complete initial and ongoing requirements. “Keir Educational Resources is a Review Course Provider for the CFP® Certification Examination administered by Certified Financial Planner Board of Standards, Inc. CFP Board does not endorse any review course nor receive any financial remunerations from Review Course Providers.”