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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