Series 4 Exam - Series 4 Materials

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Series 4 Exam Materials

Series 4 Textbook

The Empire Stockbroker Training Institute Series 4 Exam License Book emphasizes FINRA Series 4 exam-focused content. This book has tips and notes to help you focus in on the most important information along the way.

This interactive Series 4 book is user-friendly with shorter paragraphs and diagrams designed for easy comprehension. Key features include:

Easy to Understand - The Series 7 Course textbook is complete and easy to understand

Notes and Tips - Key points mixed throughout the chapters to emphasize important ideas

Workbook Questions - As you are studying the book, you will be directed to answer questions in your workbook, which goes along with the material you are studying

Chapter Exams - Multiple-choice questions at the end of each chapter with detailed explanations

Final Exams - 4 Series 4 practice final exams with detailed explanations

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Study Options

Series 4 Course Textbook $150

About the Series 4

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). This license entitles the holder to supervise options transactions.

Candidates 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.page

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