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FINRA Series 4 – Exam Information
This exam is administered by The Financial Industry Regulatory Authority (FINRA). Upon successful completion of the Series 4 exam, an individual will have the qualifications needed to supervise a member firm’s option business.
Enrollment Fee:
$105 US. Note that this is the examination enrollment fee ONLY – other fees may also apply.
Prerequisite:
You must be sponsored by a FINRA member firm. The Series 7, 17, 37, 38, 42 or 62 can be used to meet the prerequisite of the Series 4 exam.
Format:
Multiple Choice
Number Of Questions :
| Objective | # Questions |
| Option Investment Strategies | 34 |
| Supervision of Sales Activities & Trading Practices | 75 |
| Supervision of Employees, Business Conduct, Recordkeeping & Reporting Requirements | 16 |
| TOTAL | 125 |
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