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Revised:  02/24/2011

Series 4 Exam

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Series 4 Exam - Registered Options Principal

The series 4 exam is required for all Registered Options Principals (ROPs), Compliance Registered Options Principals (CROPs) and Senior Registered Options Principals (SROPs).  This license entitles the holder to supervise options transactions.

Candidate will be expected to know: Options Trading, OCC Rules, Exchange Rules, Exchange Regulations, Option Basics, Strategies, Sales Supervision, Margin Requirements for Options Accounts and Trading Procedures.

Prerequisite:  Series 7

The Series 4 test is made up of 125 multiple-choice questions.  Each student will be given a total of 3 hours for the exam.  

The test is broken down as follows:

General Area # of Questions
Investment Strategies 35
Supervising Sales Practices 71
Trading Procedures and Business Conduct 19

A passing grade for the Series 4 is 70% (88 out of 125 questions).

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Empire Stockbroker Training Institute is the largest and most successful securities training school on Long Island.

ESTI offers:

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Flexible schedules (day or evening for most classes)

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Industry-acclaimed high pass rate

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Daily quizzes to ensure course comprehension

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Professional training environment

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Extra help before, during and after class (at least two instructors on site)

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Computer / study room

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Useful knowledge to help enhance your career

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One-time fee per course

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Test taking tips and guidance

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Innovative memory tricks

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Extra help available by telephone during business hours

 

 

 

 

 

 

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Melville, N.Y.  11747