The Registered Options Principal Examination (Series 4) was 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. After passing the exam, a registered person may supervise a FINRA member firm’s options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Supervise the Opening of New Options Accounts; Supervise Options Account Activities; Supervise General Options Trading; Supervise Options Communications; Implement Practices and Adhere to Regulatory Requirements; and Supervise Associated Persons and Personnel Management Activities.Created by the experts at The Securities Institute of America, Inc., the Series 4 Exam Study Guide 2022 + Test Bank arms you with what you need to score high on the test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you’re prepared mentally and strategically to take the test, it provides:
- • Dozens of examples
- • Assorted practice questions for each subject area covered in the exam
- • Priceless test-taking tips and strategies
- • Helpful hints on how to study for the test, manage stress, and stay focused.
Series 4 Exam Study Guide 2022 + Test Bank is your ticket to passing this difficult three-hour and twenty-five-minute test on the first try-with flying colors!
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