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The Series 4 exam — the Registered Options Principal Qualification Exam (OP) — assesses the competency of an entry-level principal to perform their job as a registered options principal.
The Series 4 Exam, also known as the Registered Options Principal Qualification Examination (OP), is administered by the Financial Industry Regulatory Authority (FINRA).
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
Prepare for the Series 4 exam & pass on your first attempt with online study materials from industry leader, Kaplan Financial. Access prep packages now.
The Series 4 exam is the Registered Options Principal Qualification Examination. The exam is developed and maintained by the Financial Industry Regulatory Authority (FINRA). This content outline provides a comprehensive guide to the topics covered on the Series 4 exam.
The Series 4 FINRA exam, also known as the registered options principal qualification examination (OP), is a pivotal securities license granting individuals the authority to supervise options sales and trading personnel.
The Series 7, 17, 37, 38, 42 or 62 can be used to meet the prerequisite of the Series 4 exam. All candidates must be sponsored by a FINRA member firm to take the Series 4 exam. How do I schedule my Series 4 exam?
In the financial sector, a Registered Options Principal (ROP) is a professional who has passed the Series 4 exam and is therefore qualified to oversee options trading activities at a...
The FINRA ® Series 4, Registered Options Principal Exam is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts.
The Series 4 exam awards license to the individuals who pass to manage options sales and trading staff. The test is sponsored by FINRA and covers both meaningful information about options trading as well as points on compliance and ethics.
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