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Series 4

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Series 4

Series 4



Series 4 Exam Book 


Registered Options Principal


Series 4 Course Textbook - $150                    


The Empire Stockbroker Training Institute Series 4 Course Textbook emphasizes exam-focused content and questions along with a preparation strategy to help ensure that students pass their securities license exam on the first try.


Course Textbook

The interactive Course Textbook is user-friendly with shorter paragraphs and diagrams designed for easy comprehension. Key features include:


bullet Notes and Tips - Key points mixed throughout the chapters to emphasize important ideas.
bullet Chapter Exams - Multiple-choice questions at the end of each chapter with detailed explanations.
bullet Final Exams - 4 Multiple Choice Exams with detailed explanations designed to represent the real exam.





















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  About the Series 4


The series 4 exam is required for all Registered Options Principals (ROPs), Compliance Registered Options Principals (CROPs) and Senior Registered Options Principals (SROPs).  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.  



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