Broker Preparatory Course for Series 4 USA (PREPARATION COURSE)


The Series 4 Exam (The Registered Options Principal Qualification Exam)

Thorsten Schuell will provide the means for you to undertake the Series 4 exam. The exam is used to measure the competency of an entry-level principal to work as a registered options principal. The exam assesses the degree to which each applicant carries the knowledge needed to perform the critical functions of a registered options principal. The exam consists of 125 marked questions, candidates will have a total time limit of an 3 hours and 25 minutes to complete the exam which is a National Futures Association exam. In order to pass, candidates taking the exam will have to achieve a score of 70% or above. To become a Registered Options Principal, candidates must also pass the Securities Industry Essentials (SIE) Exam and the General Securities Representative Exam (Series 7) together with the Series 4 exam.

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The Series 4 Content outlines six major job functions this includes:

  • Supervising the opening of new options accounts
  • Supervising options account activities
  • Supervising options communications
  • Supervising general options trading
  • Implementing practices and adhering to regulatory requirements
  • Supervising associated persons and personnel management activities.

Covered supervisory activities and products include regulatory compliance over trading, market making, underwriting and advertising of:

  • Equity options
  • Foreign currency options
  • Interest rate options
  • Index options
  • Options on government and mortgage-backed securities

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