Securities Exam Preparation, Inc., established in 1972

Publishing and Professional Information Services

We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.
 

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SERIES 4 EXAM PRODUCTS

Note: All FINRA  (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 4 Exam Registered Options Principal

The options exchanges, NYSE and FINRA (NASD) require the Series 4 test for people who will supervise the day-to-day activities of representatives who conduct business for the public in the options markets.

Series 7, 42 or 62 is a prerequisite.   $90 test fee

(Form U-4) 3 hour time limit

 Test Topics

Approximate Test Questions
Option Strategies 30
Customer Accounts 60
Contract Characteristics 10
Business Conduct 25

Total 125 questions

Series 4 Exam Study Text

 

STUDY TEXT $225.00

Securities Exam's  8 1/2" by 11" Series 4 exam program comes in a 3-ring binder for ease of study. The 400+ plus page program relies heavily on graphics to communicate complex option strategies. This is the easiest and most effective way to learn options. The study program is divided into the eight major categories of the exam.

Short quizzes are interspersed throughout the chapters allow you to start and stop on key concepts. All questions have thorough explanations.

Six "exam-tough" final exams will make sure there are no surprises. Over 1,000 questions in total!

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Series 4 CD of Final Exams 
Series 4 CD
of Final Exams
$135.00

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CD is Windows Only!

The Series 4 CD Rom includes:

  • SIX FINAL EXAMS. 600+ exam-type questions and fully-explained answers provide fast and thorough review of major test topics

  • Gives you an accurate measure of your likelihood of passing the exam.

  • Provides a competitive edge by simulating your Pearson VUE exam -- these questions supplement any study materials you may have!!

On this single-user system you can take the quizzes as many times as you like, but the CD expires after a certain time-period from the date of purchase -- you should take the Series 4 exam within 120 days of buying the CD.

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Series 4 Study Text AND CD of Final Exams  
Save $60
Series 4 Study Text
with CD of
Final Exams
$300.00

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CD is Windows Only!

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Securities Exam Preparation, Inc., is a consulting organization specializing in self-study test preparation for for FINRA and  Series 7, Series 4, Series 24, Series 27, and Series 53 exams -- and in registration services for Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.   Assistance is also provided for registration of ForEx (foreign exchange) merchants and IBs.

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Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and futures industry exams -- and in registration services for
Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.

(800) 648-7277 (Pacific Time Zone)

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