Series 4 License Course

Series 4 Licensing


Series 4 Training Course

Registered Options Principal

The Series 4 licensing course is built to prepare you using all the tools you need to pass your licensing exam. The study course package is perfect for people who have a proven record of success when studying without the direction of a teacher. Begin the prep for the Series 4 exam wit the study text for a thorough viewing that covers every area of the Series 4 Test. We provide the most accurate practice questions and simulated exams to make sure you are ready to take and PASS your exam!

Exam Topics Include:

  • Understanding and supervising the opening of new options accounts

  • Institutional vs. Individual accounts and types of accounts

  • Understanding Options disclosure document requirements and Margin requirements and related disclosure requirements

  • Trading objectives and risks - Options programs and trading strategies and various option strategy approval levels

  • Understanding Customer verification , including Authorization and approval of any discretionary handling

  • Knowledge of Rules of various regulatory authorities - FINRA, NYSE, CBOE and Securities Act Regulations

  • Supervision of Options Accounts - Suitability requirements, Risk assessments, and Position and exercise limits that impact customer trading

  • Margin account rules - Margin requirements, portfolio impact and margin call procedures

  • Supervise Options activity including Time of day restrictions and Review options retail communications and determine appropriate approval


Study Manual Includes

  • Glossary of common terms

  • Appendix with commonly used charts

  • Series 4 Practice Exams

Practice your exam taking and your progress with several thousand test questions and through explanations. It will build personalized practice tests based on length and subject you choose and has an unlimited exam attempt feature. 

Complete the exams online or print them out to study on the go.

  • Review your exam scores on previously taken Series 4 exams

  • View and manage your time spent on a question or practice test

  • Search for specific questions based on keyword, question ID, or notes

  • Create personal notes and bookmarks on questions for future reference

  • Build weighted mock exams to provide a comprehensive test review of all material