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Revised: 03/15/2007
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Series 4 Exam - Registered Options Principal
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:
A passing grade for the Series 4 is 70% (88 out of 125 questions).
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Copyright © 2001-2007 Empire Stockbroker Training Institute
534 Broadhollow Rd. (Suite 410)
Melville, N.Y. 11747
The
series 4 exam is required for all Registered Options Principals (ROP’s),
Compliance Registered Options Principals (CROP’s) and Senior Registered
Options Principals (SROP’s).
