Series 4 Securities Exam – Registered Options Principal

The options exchanges, NYSE and FINRA require the Series 4 Securities Exam 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 | $105 test fee (Form U-4) | 3.25 hour time limit

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
    Option Strategies 30
    Customer Accounts 60
    Contract Characteristics 10
    Business Conduct 25
***Total Questions*** ***125***

Series 4 Registered Options Principal Exam Study Materials

Series 4 Exam Study Book

Securities Exam’s  8 1/2″ by 11″ Series 4 exam program comes in a 3-ring binder for ease of study. The 500+ 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.

Eight “exam-tough” final exams will make sure there are no surprises. Over 1,300 questions in total!

$225.00 Add

Series 4 – Exam Study Book

Series 4 – Exam Study Book

Series 4 – DATABANK of Final Exams

Designed to complement our printed study program, the Series 4 DATABANK Practice Exams software is web delivered and is a convenient and effective method of testing your overall comprehension of the material. Practice questions are of similar complexity to that of the real exam.

The program consists of tests drawn from a pool of over 1,000 questions covering the major topics found on the actual exam.

The web based access:

  • Always up to date
  • Unlimited Quizzes for each of the major topics covered on the exam
  • 9 Finals – Covering material from all major topics

Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question you see is unique. All of the tests are weighted in the same manner as the material in the actual exam.

$160.00 Add

DATABANK of Final Exams for Series 4

DATABANK of Final Exams for Series 4

System Requirements:
Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

  • Supported browsers on Windows or Mac OS
  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)

Series 4 – DATABANK of Final Exams + Exam Study Book

Exam Study Book

Securities Exam’s  8 1/2? by 11? Series 4 exam program comes in a 3-ring binder for ease of study. The 500+ 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.

Eight “exam-tough” final exams will make sure there are no surprises. Over 1,300 questions in total!

DATABANK of Final Exams

Designed to complement our printed study program, the Series 4 DATABANK Practice Exams software is web delivered and is a convenient and effective method of testing your overall comprehension of the material. Practice questions are of similar complexity to that of the real exam.

The program consists of tests drawn from a pool of over 1,000 questions covering the major topics found on the actual exam.

The web based access:

  • Always up to date
  • Unlimited Quizzes for each of the major topics covered on the exam
  • 9 Finals – Covering material from all major topics

Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.

$375.00 $300.00 Add

DATABANK & Study Book for Series 4

DATABANK & Study Book for Series 4

No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question you see is unique. All of the tests are weighted in the same manner as the material in the actual exam.

System Requirements:
Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

  • Supported browsers on Windows or Mac OS
  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)

NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.