Series 4: Registered Options Principal License Course


Share This Course:

How to Get Your Series 4 Registered Options Principal License

Series 4 License Requirements:

  1. Find a Sponsoring Firm
    • To take the Series 4 Exam, you must:
      • — Be associated with and sponsored by a member firm
      • — Be 18 years of age
  1. Study for Your Series 4 License
    • By choosing STC as your exam prep provider, you gain access to print and online study manuals, online practice exams, the instructor hotline, and more.
  2. Complete Form U4
    • On your behalf, your sponsoring firm will send your completed Form U4 to FINRA.
    • FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam.
  3. Schedule Your Exam
  4. Pass the Series 4
    • After your exam, you’ll receive a printed copy of your score.
    • To obtain your Series 4 License, you must also pass both the Securities Industry Essentials (SIE) Exam and the Series 7 Exam.

The Essential Self-Study Package is an excellent choice if you prefer to preparepractice, and perform on your own. Planning your exam preparation is made simple with our customizable study calendar that schedules daily tasks based on your study time frame and exam date. Begin preparing for your exam with units in the License Exam Manual for a comprehensive overview covering all aspects of the exam. Practice your test-taking skills and focus on areas of weakness after each unit with quizzes in the SecuritiesPro™ QBank. Use the Video Library for additional clarification on exam topics you may be having trouble understanding. Finally, test your performance with our Practice Exam for a final review before the actual exam.

The Essential Self-Study Package Includes:

  • Study Calendar
  • License Exam Manual (LEM) (Print & PDF)
  • SecuritiesPro™ QBank
  • Video Library
  • Checkpoint Exams
  • Midterm Exam
  • Practice Exam
  • Exam Tips & Content Updates

*The online access period for your QBank course is 5 months. An additional five months may be purchased at $49. Please call or email our student support center to request this extension.

Exam Details

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.

Prerequisites: Series 7, 17, 37, 38, or 62 (with Series 42)

Exam Format: 125 multiple-choice questions

Exam Duration: 3 hours

Outline of Topics Covered:

  • Options Investment Strategies
  • Supervision of Sales Activities and Trading Practices
  • Supervision of Employees, Business Conduct, and Record-keeping and Record Requirements

“Did You Find What You Need?” For Additional Resources & Testing:

Recommended Add-Ons

Disclaimer: Course requirements and pricing are subject to change. Students are advised to verify all necessary licensing and education requirements with the appropriate state department or licensing agency prior to purchase. All courses offered on this site are processed and administered through third-party companies. Cameron.Academy does not process payments nor issue refunds. Responsibilities of the user-selected third-party company (or companies) include publishing and updating content, payment processing and refunds, administering and/or hosting courses, monitoring, grading, reporting, issuing certification (paper and/or digital), and providing various products. Average salary statistics may vary and are published by ZipRecruiter via their website. Cameron.Academy does not assume responsibility for this third-party data and users should independently research its’ accuracy. All customer and/or technical support will be provided through the user-selected third-party. Therefore, Cameron.Academy does not assume any responsibility nor liability for issues that may arise as a result of purchasing these third-party courses and/or products.